Evaluation Reporting System

Transcription

1 Department of the Army Pamphlet Personnel Evaluation Evaluation Reporting System Headquarters Department of the Army Washington, DC 10 November 2015 UNCLASSIFIED

2 SUMMARY of CHANGE DA PAM Evaluation Reporting System This administrative revision, dated 21 March o Corrects reference for multisource assessment and feedback dates (tables 2-8 and 2-14). o Removes reference to bullet comments (table 3-14). o Applies administrative corrections (throughout). This major revision, dated 10 November o Renames DA Form (Strategic Grade Plate (O7) Officer Evaluation Report) to DA Form (Strategic Grade Plate General Officer Evaluation Report) (para 1-1). o Includes one broadening assignment recommendation for noncommissioned officers on DA Form (NCO Evaluation Report (SGT)), DA Form (NCO Evaluation Report (SSG - 1SG/MSG)), and DA Form (NCO Evaluation Report CSM/SGM)) to assist in talent management (paras 3-7, 3-12, and 3-17). o Redefines the senior rater four-box check system and label technique for DA Form (NCO Evaluation Report (SSG - 1SG/MSG)), and DA Form (NCO Evaluation Report CSM/SGM)) (paras 3-12 and 3-17). o Incorporates a new rater four-box check system and label technique for DA Form (NCO Evaluation Report (SSG - 1SG/MSG)), and DA Form (NCO Evaluation Report CSM/SGM)) (paras 3-12 and 3-17). o Includes a new senior rater s managed assessment for DA Form (NCO Evaluation Report (SSG - 1SG/MSG)) and DA Form (NCO Evaluation Report CSM/SGM)) reinvigorating the importance of the senior rater to the overall assessment process and reinforcing accountability (paras 3-12 and 3-17). o Includes a new DA Form series (NCOERs) rater assessment and Rater Tendency Report to track the rating history of each rater for noncommissioned officers of all components, by rank, for staff sergeant through command sergeant major (para 3-18). o Updates addendum procedures for newly received derogatory information to also incorporate noncommissioned officer evaluation reports (para 3-22 and para 5-3). o Changes procedure requirements on DA Form 1059 (Service School Academic Evaluation Report) to requiring Failed to Achieve Course Standards being marked for when rated a Soldier fails to meet Army Physical Fitness and/or body composition standards (para 4-3).

3 o Updates processing procedures for DA Form (NCO Evaluation Report (SGT)), DA Form (NCO Evaluation Report (SSG - 1SG/MSG)), and DA Form (NCO Evaluation Report CSM/SGM)) DA Form series (NCOERs (para 5-1 and app B). o Removes nonrated code B for DA Form series (OERs) (table 2-25). o Includes new DA Form (NCO Evaluation Report (SGT)), DA Form (NCO Evaluation Report (SSG - 1SG/MSG)), and DA Form (NCO Evaluation Report CSM/SGM)), based on Army leadership levels, linking performance to attributes and competencies (throughout). o Includes a new DA Form A (NCO Evaluation Report Support Form), mandated for use by noncommissioned officers in the ranks of corporal through command sergeant major, linking development with attributes and competencies (throughout). o Replaces DA Form (NCO Evaluation Report) and DA Form (NCOER Counseling and Support Form) (throughout). o Incorporates use of Evaluation Entry System as primary method for completing and submitting DA Form series (NCOERs) (throughout). o Incorporates procedures for when official.gov or.mil address exceeds character limitations allowable for entry (throughout). o Updates basic Branch entry requirements for DA Form series (OERs) and DA Form series (NCOERs) for inclusion of Voluntary Transfer Incentive Program and/or career field designation (throughout). o Incorporates alternate use of an issued Department of Defense identification number in lieu of a nine digit social security number for the rated Soldier, rater, and senior rater (throughout).

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5 Headquarters Department of the Army Washington, DC 10 November 2015 *Department of the Army Pamphlet Personnel Evaluation Evaluation Reporting System H i s t o r y. T h i s p u b l i c a t i o n i s a n a d m i n i s t r a t i v e r e v i s i o n. T h e p o r t i o n s affected by this administrative revision are listed in the summary of change. Summary. This pamphlet prescribes the policy and tasks for the Army s Evaluat i o n R e p o r t i n g S y s t e m, i n c l u d i n g D A F o r m s e r i e s ( O E R s ), D A F o r m series (NCOERs), DA Form 1059s and DA Form s (AERs), focused on the assessment of performance and potential. It includes policy statements, opera t i n g t a s k s, a n d r u l e s i n s u p p o r t o f operating tasks. It has been revised to update preparation procedures for DA Form A (NCOER support form), DA Form , DA Form , and DA Form (DA Form series or NCOERs), which integrates use of a new rater s assessment for noncommissioned officers, incorporates a new rater tendency report, integrates a new senior rater s managed assessment for staff sergeants through command sergeants major, and integrates Army leadership doctrine o n D A F o r m s e r i e s ( N C O E R s ) and DA Form A NCO support form. Applicability. This pamphlet applies to t h e R e g u l a r A r m y, t h e A r m y N a t i o n a l Guard/Army National Guard of the United States, and the U.S. Army Reserve, unless otherwise stated. It also applies to Department of the Army civilians, and to U.S. Armed Forces and U.S. Coast Guard officers, officers of allied armed forces, and employees of the Government who serve as rating officials in the performance of their personnel management responsibilities as established by this regulation and in accordance with applicable Joint, Department of Defense, and civilian personnel management policy. It does not apply to retirees or former Soldiers. The guida n c e p r o v i d e d i n t h i s p a m p h l e t a p p l i e s during mobilization in conjunction with Personnel Policy Guidance published for each operation and issued by Headquarters, Department of the Army. Proponent and exception authority. The proponent of this regulation is the Deputy Chief of Staff, G 1. The proponent has the authority to approve exceptions or waivers to this regulation that are consistent with controlling law and regulations The Deputy Chief of Staff, G 1, has delegated this approval authority to t h e C o m m a n d i n g G e n e r a l, H u m a n R e - sources Command, who may further deleg a t e t h i s a u t h o r i t y t o a d i v i s i o n c h i e f, Human Resources Command, in the rank of colonel or the civilian grade equivalent. Human Resources Command is a field operating agency to the proponent agency. Activities may request a waiver to this r e g u l a t i o n b y p r o v i d i n g j u s t i f i c a t i o n which includes a full analysis of the expected benefits and must include a formal review by the activity s senior legal officer. All waiver requests will be endorsed by the commander or senior leader of the requesting activity and forwarded through t h e i r h i g h e r h e a d q u a r t e r s t o t h e p o l i c y proponent. Refer to AR for specific guidance. Suggested improvements. Users are invited to send comments and suggested improvements on DA Form 2028 (Recomm e n d e d C h a n g e s t o P u b l i c a t i o n s a n d B l a n k F o r m s ) d i r e c t l y t o C o m m a n d e r, U.S. Army Human Resources Command (AHRC PDV E), 1600 Spearhead Division Avenue, Department 470, Fort Knox, KY Distribution. This pamphlet is available in electronic media only and is intended for command levels A, B, C, D, and E for the Regular Army, Army National Guard/ A r m y N a t i o n a l G u a r d o f t h e U n i t e d States, and the U.S. Army Reserve. Contents (Listed by paragraph and page number) Chapter 1 Introduction, page 1 Purpose 1 1, page 1 References 1 2, page 1 Explanation of abbreviations 1 3, page 1 *This publication supersedes DA Pam 623 3, dated 31 March DA PAM November 2015 UNCLASSIFIED i

6 Contents Continued Evaluation report forms 1 4, page 1 Privacy Act statement 1 5, page 1 Chapter 2 Officer Evaluation Report Forms and Preparation, page 1 Section I DA Form A (Officer Evaluation Report Support Form), page 1 Purpose and process for DA Form A 2 1, page 1 Section II DA Form series Officer Evaluation Reports, page 7 Purpose and process for DA Form series 2 2, page 7 Section III DA Form (Company Grade Plate O1 through O3 and WO1 through CW2), page 15 Part I, administrative data 2 3, page 15 Part II, authentication 2 4, page 16 Part III, duty description 2 5, page 19 Part IV, performance evaluation-professionalism, attributes, and competencies 2 6, page 20 Part V, intermediate rater (if applicable) 2 7, page 25 Part VI, senior rater 2 8, page 25 Section IV DA Form (Field Grade Plate O4 through O5 and CW3 through CW5), page 27 Part I, administrative data 2 9, page 27 Part II, authentication 2 10, page 29 Part III, duty description 2 11, page 31 Part IV, Performance evaluation-professionalism, competencies and attributes 2 12, page 32 Part V, intermediate rater (if applicable) 2 13, page 37 Part VI, senior rater 2 14, page 37 Section V DA Form (Strategic Grade Plate (O6) Officer Evaluation Report), page 39 Part I, administrative data 2 15, page 39 Part II, authentication 2 16, page 41 Part III, duty description 2 17, page 44 Part IV, Performance evaluation-professionalism, competencies and attributes 2 18, page 45 Part V, intermediate rater (if applicable) 2 19, page 49 Part VI, senior rater 2 20, page 49 Section VI DA Form (Strategic Grade Plate General Officer Evaluation Report), page 51 Part I, administrative data 2 21, page 51 Part II, authentication 2 22, page 53 Part III, duty description 2 23, page 55 Part IV, performance evaluation-professionalism, competencies, and attributes 2 24, page 55 Part V, senior rater 2 25, page 59 Section VII Rater and Senior Rater Profile Reports for Officer Evaluation Reporting System, page 60 Rater Profile report, Officer Evaluation Reporting System, and Headquarters, Department of the Army electronically generated label (Company and Field Grade Plates) 2 26, page 60 Senior Rater Profile report, Officer Evaluation Reporting System, and Headquarters, Department of the Army electronically generated label 2 27, page 61 ii DA PAM November 2015

7 Contents Continued Section VIII Referred Reports, Relief for Cause Reports and Addendum Procedures, page 61 Referral process 2 28, page 61 Relief for Cause officer evaluation report instructions 2 29, page 65 Mandatory review of officer Relief for Cause officer evaluation reports 2 30, page 68 Submitting an addendum to previously submitted officer evaluation reports 2 31, page 69 Section IX Headquarters, Department of the Army DA Form series Officer Evaluation Report Processing, page 70 How to make corrections to DA Form series 2 32, page 70 Headquarters, Department of the Army rejection of DA Form series 2 33, page 70 Chapter 3 Noncommissioned Officer Evaluation Report Forms and Preparation, page 72 Section I DA Form A (NCO Evaluation Report Support Form), page 72 Purpose and process for DA Form A 3 1, page 72 Section II DA Form series Noncommissioned Officer Evaluation Reports, page 76 Purpose and process for DA Form series 3 2, page 76 Section III DA Form (NCO Evaluation Report (SGT)), page 83 Part I, administrative data 3 3, page 83 Part II, authentication 3 4, page 85 Part III, duty description 3 5, page 87 Part IV, Performance Evaluation, Professionalism, Attributes, and Competencies 3 6, page 88 Part V, senior rater overall potential 3 7, page 93 Section IV DA Form (NCO Evaluation Report (SSG 1SG/MSG)), page 94 Part I, administrative data 3 8, page 94 Part II, authentication 3 9, page 96 Part III, duty description 3 10, page 99 Part IV, Performance Evaluation, Professionalism, Attributes, and Competencies 3 11, page 100 Part V, Senior rater overall potential 3 12, page 105 Section V DA Form (NCO Evaluation Report (CSM/SGM)), page 107 Part I, administrative data 3 13, page 107 Part II, authentication 3 14, page 109 Part III, duty description 3 15, page 111 Part IV, Performance Evaluation, Professionalism, Attributes, and Competencies 3 16, page 112 Part V, Senior rater overall potential 3 17, page 117 Section VI Rater Tendency and Senior Rater Profile Reports for Noncommissioned Officer Evaluation Reporting System, page 119 Rater Tendency report, Noncommissioned Officer Evaluation Reporting System, and Headquarters, Department of the Army electronically generated label 3 18, page 119 Senior Rater Profile report, Noncommissioned Officer Evaluation Reporting System, and Headquarters, Department of the Army electronically generated label 3 19, page 119 DA PAM November 2015 iii

8 Contents Continued Section VII Relief for Cause Reports and Addendum Procedures, page 120 Relief for Cause noncommissioned officer evaluation report instructions 3 20, page 120 Mandatory review of noncommissioned officer Relief for Cause reports 3 21, page 121 Submitting an addendum to previously submitted Noncommissioned Officer Evaluation Reports 3 22, page 121 Section VIII Headquarters, Department of the Army DA Form series Noncommissioned Officer Evaluation Report Processing, page 122 Instructions for Relief for Cause DA Form series NCOER 3 23, page 122 How to make corrections to DA Form series NCOER 3 24, page 122 Headquarters, Department of the Army rejection of DA Forms series NCOER 3 25, page 122 Chapter 4 Preparation of DA Form 1059 and DA Form , page 124 Section I DA Form 1059, page 124 Purpose and process for DA Form 1059 (Service School Academic Evaluation Report) 4 1, page 124 Administrative data 4 2, page 126 Performance summary (block 11) 4 3, page 127 Demonstrated abilities (block 12) 4 4, page 127 Academic potential (block 13) 4 5, page 127 Rater comments (block 14) 4 6, page 128 Referred DA Forms 1059 and mandatory review of Failed to Achieve Course Standards DA Forms , page 128 Section II DA Form (Civilian Institution Academic Evaluation Report), page 129 Purpose and process 4 8, page 129 Preparing the DA Form , page 131 Submitting an addendum to previously submitted academic evaluation reports 4 10, page 132 Chapter 5 Evaluation Report Processing, page 132 Section I Evaluation Report Processing and Submission, page 132 DA Form series OERs and DA Form series NCOERs processing and copies 5 1, page 132 DA Form 1059 and DA Form processing and copies 5 2, page 134 Section II Addendum Preparation and Forwarding (DA Form series OER, DA Form series NCOER DA Form 1059, and DA Form ), page 135 Preparing an addendum to a previous evaluation report 5 3, page 135 Steps for preparing an addendum 5 4, page 135 Chapter 6 Constructing an Evaluation Report Appeal, page 137 Deciding to appeal 6 1, page 137 Preparing an appeal 6 2, page 137 Appendixes A. References, page 144 B. U.S. Army Human Resources Command and Other Addresses, page 146 iv DA PAM November 2015

9 Contents Continued C. Counseling, page 147 Table List Table 2 1: Administrative data for DA Form , page 15 Table 2 2: Authentication for DA Form , page 17 Table 2 3: Duty description for DA Form , page 19 Table 2 4: Performance evaluation professionalism and Army Values for DA Form , page 20 Table 2 5: Intermediate rater for DA Form , page 25 Table 2 6: Senior rater for DA Form , page 25 Table 2 7: Administrative data for DA Form , page 27 Table 2 8: Authentication for the DA Form , page 29 Table 2 9: Duty description for DA Form , page 32 Table 2 10: Performance evaluation professionalism and Army Values for the DA Form , page 32 Table 2 11: Intermediate rater for DA Form , part V, page 37 Table 2 12: Senior rater for DA Form , page 38 Table 2 13: Administrative data for DA Form , page 39 Table 2 14: Authentication for DA Form , page 41 Table 2 15: Duty Description for DA Form , page 44 Table 2 16: Performance evaluation professionalism and Army Values for DA Form , page 45 Table 2 17: Intermediate rater for DA Form , page 49 Table 2 18: Senior rater for DA Form , page 49 Table 2 19: Administrative data for DA Form , page 51 Table 2 20: Authentication for DA Form , page 53 Table 2 21: Duty description for DA Form , page 55 Table 2 22: Performance evaluation professionalism and Army Values for DA Form , page 56 Table 2 23: Senior rater for DA Form , page 59 Table 2 24: Codes and reasons for submitting DA Form series, page 70 Table 2 25: Codes and reasons for nonrated periods for DA Form series, page 71 Table 3 1: Administrative data for DA Form , page 83 Table 3 2: Authentication for DA Form , page 85 Table 3 3: Duty description for DA Form , page 88 Table 3 4: Part IV Performance Evaluation, Professionalism, Attributes, and Competencies DA Form , page 89 Table 3 5: Senior rater for DA Form , page 93 Table 3 6: Administrative data for DA Form , page 95 Table 3 7: Authentication for DA Form , page 97 Table 3 8: Duty description for DA Form , page 99 Table 3 9: Part IV Performance Evaluation, Professionalism, Attributes, and Competencies DA Form , page 101 Table 3 10: Senior rater for DA Form , page 105 Table 3 11: Administrative data for DA Form , page 107 Table 3 12: Authentication for DA Form , page 109 Table 3 13: Duty description for DA Form , page 111 Table 3 14: Part IV Performance Evaluation, Professionalism, Attributes, and Competencies DA Form , page 113 Table 3 15: Senior rater for DA Form , page 117 Table 3 16: Codes and reasons for submission for DA Form series NCOER, page 123 Table 3 17: Reason codes for nonrated time for DA Form series NCOER, page 123 Table 4 1: Administrative data for DA Form 1059, page 126 Table 4 2: Preparing the DA Form , page 131 Table 5 1: Sponsoring agency addresses for DA Forms 1059 and DA Forms , page 134 Table 5 2: Addendum preparation, page 136 Table B 1: Addresses for the U.S. Army Human Resources Command, National Guard Bureau, and other Services personnel offices, page 146 DA PAM November 2015 v

10 Contents Continued Table C 1: Counseling session preparation, page 148 Figure List Figure 2 1: Example of DA Form A (page 1), page 4 Figure 2 1: Example of DA Form A Continued (page 2), page 5 Figure 2 1: Example of DA Form A Continued (page 3), page 6 Figure 2 2: Example of DA Form (page 1), page 8 Figure 2 2: Example of DA Form Continued (page 2), page 9 Figure 2 3: Example of DA Form (page 1), page 10 Figure 2 3: Example of DA Form Continued (page 2), page 11 Figure 2 4: Example of DA Form (page 1), page 12 Figure 2 4: Example of DA Form Continued (page 2), page 13 Figure 2 5: Example of DA Form , page 14 Figure 2 6: Sample format for referral memorandum, page 63 Figure 2 7: Sample format for acknowledgment memorandum, page 64 Figure 2 8: Sample format Relief for Cause directed by a nonrating official memorandum, page 66 Figure 2 9: Sample format supplementary review Relief for Cause memorandum, page 67 Figure 2 10: Sample format for request of an international rater identification number memorandum, page 68 Figure 3 1: Example of DA Form A (page 1), page 74 Figure 3 1: Example of DA Form A Continued (page 2), page 75 Figure 3 2: Example of DA Form (page 1), page 77 Figure 3 2: Example of DA Form Continued (page 2), page 78 Figure 3 3: Example of DA Form (page 1), page 79 Figure 3 3: Example of DA Form Continued (page 2), page 80 Figure 3 4: Example of DA Form (page 1), page 81 Figure 3 4: Example of DA Form Continued (page 2), page 82 Figure 4 1: Sample of DA Form 1059, page 125 Figure 4 2: Sample of a DA Form , page 130 Figure 5 1: Sample format for an addendum memorandum, page 136 Figure 6 1: Sample format for an administrative appeal memorandum, page 139 Figure 6 2: Sample format for a substantive appeal memorandum, page 140 Figure 6 3: Sample format for a combined administrative and substantive appeal memorandum, page 141 Figure 6 4: Sample format for a letter requesting third party support, page 142 Figure 6 5: Sample format for a third party support memorandum, page 143 Glossary vi DA PAM November 2015

11 Chapter 1 Introduction 1 1. Purpose This pamphlet provides procedural guidance for completing and submitting to Headquarters, Department of the Army (HQDA) evaluation reports and associated support forms that are the basis for the Army s Evaluation Reporting System. These include Department of the Army (DA) Form series: DA Form (Company Grade Plate (O1 O3; WO1 CW2 Officer Evaluation Report), DA Form (Field Grade Plate (O4 O5; CW3 CW5) Officer Evaluation Report), DA Form (Strategic Grade Plate (O6) Officer Evaluation Report), DA Form (Strategic Grade Plate General Officer Evaluation Report), hereafter known collectively as DA Form series (Officer Evaluation Reports) (OER) or "OER"; DA Form A (Officer Evaluation Report Support Form) and DA Form A (NCO Evaluation Report Support Form), hereafter known collectively as support forms; DA Form (NCO Evaluation Report (SGT)); DA Form (NCO Evaluation Report (SSG 1SG/MSG)); DA Form (NCO Evaluation Report (CSM/SGM)), hereafter known collectively as DA Form series (NCO Evaluation Reports)(NCOER) or "NCOER"; DA Form 1059 (Service School Academic Evaluation Report); and DA Form (Civilian Institution Academic Evaluation Report), hereafter known collectively as AERs. DA Forms series (OERs), DA Form series (NCOERs), and DA Form 1059, and DA Form (AERs), hereafter are collectively referred to as evaluation reports. Policy pertaining to each of these unique reports and support forms is contained in Army Regulation (AR) 623 3, Evaluation Reporting System. Send requests for clarification or exceptions to procedures to the U.S. Army Human Resources Command (HRC) (AHRC PDV E) (address and contact information in app B). Current information on updated applications, changes in procedural guidance, and training are available online at References See appendix A Explanation of abbreviations See glossary Evaluation report forms The Army Publishing Directorate (APD) s Web site ( under the Forms ) provides the most current versions of mandatory forms used in the evaluation process. This pamphlet addresses specific instructions for the preparation and submission of evaluation reports and support forms Privacy Act statement a. Authority. The authority for the Privacy Act for evaluation reports can be found in Title 5, United States Code, Sections 301 (5 USC 301), 10 USC 3013, Executive Order (EO) 9397, as amended (SSN). b. Purpose. Evaluation reports will serve as the primary source of information for officer and NCO personnel management decisions and will serve as a guide for the Soldier s performance and development, enhance the accomplishment of the organization s mission, and provide additional information to the rating chain. c. Routine use. Evaluation reports will be maintained in the rated Soldier s Army Military Human Resource Record (AMHRR). A copy will be given directly to the rated Soldier or sent to a forwarding address. The DOD blanket routine uses may apply to this collection. d. Disclosure. Disclosure of a full nine-digit social security number (SSN) for the rated Soldier, the rater, and senior rater is voluntary. As an alternative to providing an SSN, individuals possessing a Department of Defense (DOD) issued common access card (CAC) may use their unique 10-digit DOD identification number (located on the reverse side of the CAC) in lieu of providing a full nine-digit SSN for the rated Soldier, the rater, and senior rater. Failure to provide verified SSNs or DOD identification numbers will result in delayed, erroneous, or failure of processing evaluation report submitted to HQDA. Note: Completed forms contain personnel identifiable information and require special handling. Chapter 2 Officer Evaluation Report Forms and Preparation Section I DA Form A (Officer Evaluation Report Support Form) 2 1. Purpose and process for DA Form A a. Purpose. DA Form A promotes a top-down emphasis on leadership communication, integrating rated DA PAM November

12 officer participation in objective setting, performance counseling, and the evaluation process. At the beginning of the rating period, it enhances planning and relates performance to mission through rater and rated officer joint discussion of the duty description and major performance objectives. Note: The word officer refers to both commissioned officers and warrant officers, unless otherwise specified. However, rating officials will recognize the basic differences between commissioned and warrant officers when counseling and preparing evaluation reports. Note: Use of DA Form A is mandatory for use by all Army Officers in grades warrant officer one (WO1) through colonel (O6). Content hereafter captures this with (or equivalent) language associated to support form content, as rating officials, brigadier general (O7) and above may choose to utilize other mediums. During the rating period, encourages performance counseling and the best use of individual talent through continuous communication to update and revise the performance objectives. At the end of the rating period, enables rated officer to provide input to the appropriate version of the series DA Form series (Officer Evaluation Report). b. Process. Rating officials of second lieutenants (2LTs) through colonels (COLs) and warrant officers one (WO1s) through chief warrant officers five (CW5s) will use DA Form A. When an officer is serving under dual supervision, each chain of supervision will use a DA Form A. The DA Form A is not used to evaluate an officer and therefore is not forwarded to HQDA with the completed OER. Note: When a rated officer is under dual supervision, DA Form A support forms (or equivalent) are required by both chains of commands or supervision. (1) Beginning of the rating period. (a) Shortly after the rated officer assumes their duties, the rater provides the rated officer with a copy of their and the senior rater s DA Form A (or equivalent). The rated officer then drafts his or her DA Form A (duty description (part IV) and major performance objectives (part V)). Note: Always use the current version of form in accordance with paragraph 1 2. Using the Wizard application within the Evaluation Entry System (EES) allows the automatic population for the rated officer s administrative data in part I of the electronic form based on the most current data from the authoritative database at HQDA. Auto-populated administrative data may be manually corrected, as needed. The use of SSNs on support forms is optional because these documents are used exclusively at the local level; however, full SSNs or DOD Identification (DODID) numbers for the rated officer, the rater, and the senior rater are needed to create a DA Form A within EES and assist in populating officer evaluation reports directly from the DA Form A. (b) Within the first 30 days, the rater conducts the initial counseling with the rated officer and reviews the duty description and major performance objectives for any necessary revision and approval. The rater will discuss and establish goals that promote/support a healthy workplace environment conducive to the growth and development of personnel. The rater will also discuss and establish goals for supporting the EO and EEO programs, fostering a climate of dignity and respect, adhering to the SHARP Program s initiatives, reducing and eliminating sexual harassment and sexual assault in their unit (to be included in Part V, CHARACTER ). The rater will review the completed multisource assessment and feedback (MSAF) date entered in Part I, block k and provide appropriate recommendations concerning the MSAF in Part V, block e. Additionally, the rater will provide the rated officer self development goals in part VI. (c) When the initial discussion is completed, the rated officer dates and initials in part III of the DA Form A. The rater will enter the date initial counseling occurred and the dates the rated officer had access to his and the senior rater s DA Form A (or equivalent) prior to initial counseling. The rater initials in part III and forwards the form to the senior rater. The senior rater reviews, comments as needed in part VII, initials DA Form A in part III and returns it to the rater. The rater will return the original DA Form A to the rated officer for the rated officer s signature and date located in part VII. The rater will retain a copy for record. (2) During the rating period. The rated officer uses the DA Form A as a performance guide. The rater conducts periodic follow-up performance counseling with the rated officer to make needed adjustments to objectives. (a) For LTs and/or WO1s, quarterly counseling is mandatory; for captains (CPTs) and/or chief warrant officers two (CW2s), the counseling goal is once around midpoint (3 to 6 months into the rating period); for field grade officers, follow-up counseling is on an as-needed basis. (b) The rater and rated officer discuss and document significant contributions. Additionally, the rater and rated officer discuss and document performance accomplishments as they relate to adherence to leadership attributes and demonstration of competencies in part V, blocks A through F. The rater will discuss how well the officer is promoting and/or supporting the Equal Opportunity (EO) and Equal Employment Opportunity (EEO) programs, fostering a climate of dignity and respect, adhering to the SHARP Program s initiatives, reducing and eliminating sexual harassment and sexual assault in their unit in Part V, CHARACTER. Note: (To apply changes the rated officer will need to remove their signature in part VII.) Upon completion of each periodic counseling session, the rated officer and the rater initial and date DA Form A in part III. The senior rater then reviews (and comments as needed in part VII) and initials in part III and returns it to the rater. The rater will return the original DA Form A to the rated officer for signature/date located in part VII. The rater will retain a copy for record. (3) End of the rating period. At the end of the rating period, the rated officer completes DA Form A by 2 DA PAM November 2015

13 documenting how well they accomplished the major performance objectives during the rating period, focusing on the most significant objectives and documenting performance accomplishments as they relate to adherence to leadership attributes and demonstration of competencies made. The rated officer then forwards the completed DA Form A to the rater. The rater obtains the current required version of the electronic OER and uses the DA Form A as input in preparing his or her evaluation of the rated officer. Note. The electronic version of DA Form A within the EES can be used to create a draft OER allowing portions of DA Form A data to auto populate onto the draft OER. The rater uses the DA Form A as input to complete parts I through IV of the OER. They then forward the DA Form A and OER to the intermediate rater, if applicable, or the senior rater. The intermediate rater, if applicable, also uses the DA Form A as OER input and forwards the DA Form A and OER to the senior rater. The senior rater uses the DA Form A as OER input and returns the original DA Form A to rated officer. See figure 2 1 for a sample of DA Form A. Note: Additional attachments to DA Form A may be used, when required. DA PAM November

14 Figure 2 1. Example of DA Form A (page 1) 4 DA PAM November 2015

15 Figure 2 1. Example of DA Form A Continued (page 2) DA PAM November

16 Figure 2 1. Example of DA Form A Continued (page 3) 6 DA PAM November 2015

17 Section II DA Form series Officer Evaluation Reports 2 2. Purpose and process for DA Form series a. Purpose. The DA Form series allows rating officials to provide HQDA with performance and potential assessments of each rated officer for HQDA selection board processes. It also provides valuable information for use by successive members of the rating chain, emphasizes and reinforces professionalism, and supports the specialty focus of Officer Personnel Management System processes. The DA Form series consists of the following: (1) DA Form (Company Grade Plate (O1 O3; WO1 CW2) Officer Evaluation Report) for 2LT through CPT and WO1 through CW2. (2) DA Form (Field Grade Plate (O4 O5; CW3 CW5) Officer Evaluation Report) for major (MAJ) through lieutenant colonel (LTC) and chief warrant officer three (CW3) through chief warrant officer five (CW5). (3) DA Form (Strategic Grade Plate (O6) Officer Evaluation Report) for colonel (COL). (4) DA Form (Strategic Grade Plate General Officer Evaluation Report) for brigadier general (BG) and only USAR major generals (MG). Note: Ensure the appropriate DA Form series is selected and utilized for when rated Soldiers are eligible use of the P identifier in part I, block of the officer evaluation report (see AR 623 3). b. Process. OER completion requires rating officials to make a conscientious assessment of a rated officer s performance in his or her assigned position and his or her potential for increased responsibility and service in positions of higher ranks. Note: The Armywide standard is to complete all portions of the OER using the Form Wizard application with the electronic form located within the EES, enter CAC-enabled digital signatures, and digitally submit the completed OER to HQDA via the Evaluation Entry System. The electronic Form Wizard application allows the rater to automatically enter administrative data in part I of the OER based on the most current data from the authoritative database at HQDA. (See AR for submission procedures and app B for addresses and contact information for manual submission of completed OERs and associated documents. Information related to OERs on U.S. Army Reserve (USAR) and Army National Guard (ARNG) officers can be found in this pamphlet and in AR ) c. Samples. See figures 2 2 through 2 5 for samples of OERs. DA PAM November

18 Figure 2 2. Example of DA Form (page 1) 8 DA PAM November 2015

19 Figure 2 2. Example of DA Form Continued (page 2) DA PAM November

20 Figure 2 3. Example of DA Form (page 1) 10 DA PAM November 2015

21 Figure 2 3. Example of DA Form Continued (page 2) DA PAM November

22 Figure 2 4. Example of DA Form (page 1) 12 DA PAM November 2015

23 Figure 2 4. Example of DA Form Continued (page 2) DA PAM November

24 Figure 2 5. Example of DA Form DA PAM November 2015

25 Section III DA Form (Company Grade Plate O1 through O3 and WO1 through CW2) 2 3. Part I, administrative data Part I is for administrative data, including identification of the rated officer, unit data, the period covered, number of rated months, nonrated time codes, and the reason for submission of the DA Form See table 2 24 for a list of codes and reasons for submitting OERs and table 2 25 for the codes and reasons for nonrated periods. Table 2 1 Administrative data for DA Form DA Form , part I: block a Name Action required: Enter the rated officer s full name (last, first, middle initial (MI), suffix) All capital letters. DA Form , part I: block b SSN (or DOD ID No.) Action required: Enter the rated officer s full nine-digit SSN (for example, ). As an alternative to providing an SSN, individuals possessing a DOD issued CAC may provide their unique 10-digit DOD identification number (located on the reverse side of the CAC). DA Form , part I: block c Rank Action required: Enter the rated officer s three-letter rank abbreviation, not pay grade (for example, CPT for captain or 1LT for first lieutenant) as of the THRU date of the DA Form If the rated officer has been selected for promotion and is serving in a position authorized for the next higher rank, he or she will be rated in the promotable rank and a P will be placed after his or her current rank (for example, 1LTP ). If the rated officer is not assigned to a position authorized for the higher rank, no P will be entered after the rank. If the rated officer has been frocked to the next higher rank and is serving in a position authorized for the rank to which he or she is frocked, enter the frocked rank. If the rated officer has been frocked to a higher rank but is not yet serving in a position authorized for the higher rank, enter the lower rank. Note: For ARNG officers, promotions and/or promotable status dates are determined by state adjutant generals; these dates are not based on release dates of promotion selection lists(see AR ) Reference: AR DA Form , part I: block d Date of Rank Action required: Enter the date of rank (YYYYMMDD) for the rated officer s rank as of the THRU date of the DA Form If the officer is promotable but not yet promoted, the date of rank is for the current rank. If the rated officer has been frocked to a higher rank and is serving in an authorized position at the frocked rank, enter the effective date of the frocking. If the rated officer has been frocked to a higher rank and is not yet serving in an authorized position requiring the higher rank, enter the date of rank of the lower rank. DA Form , part I: block e Branch Action required: Enter the rated officer s two-character basic branch abbreviation or Voluntary Transfer Incentive Program (VTIP)/Career Field Designation (CFD). For general officers, enter "GO." The two-character branch entry will not be GS. Reference: DA Pam DA Form , part I: block f COMP Status Code Action required: For USAR or ARNG, enter component status code as follows: IRR individual ready reserve (or IRR MOB for mobilized IRR Soldier). IMA individual mobilization augmentee (or IMA MOB for mobilized IMA Soldiers). DIMA drilling individual mobilization augmentee (or DIMAMOB for mobilized DIMA Soldiers). TPU troop program unit. ADOS active duty for operational support. AGR active guard reserve. MOB mobilized Soldier. CO ADOS contingency operations-active duty for operational support. ADOS RC active duty for operational support-reserve Component. M DAY man-day ARNG traditional Soldiers. DA PAM November

26 Table 2 1 Administrative data for DA Form Continued DA Form , part I: block g Unit, Org., Station, ZIP Code or APO, Major Command Action required: Enter the rated officer s unit, organization, station, zip code, or Army Post Office (APO), and Major Command in the order listed on the DA Form Note. The Wizard application within the EES may not automatically enter deployed unit data; however, it may be changed manually on the DA Form The USAR must include the appropriate major USAR command or USAR general officer command. On DA Form s for U.S. Army Medical Department (AMEDD) officers assigned or attached to the Army Medical Department Professional Management Command (APMC) who do not complete annual training (AT) or extended combat training (ECT), use the APMC address with AR MEDCOM (see glossary for definition) as the major command. DA Form , part I: block h UIC Action required: Enter the rated officer s unit identification code (UIC). Note. This code can be automatically populated by using the Wizard application within the electronic form within the EES, if unknown. If it is incorrect, it can be manually corrected. DA Form , part I: block i Reason for Submission Action required: Enter the appropriate code and reason that identify why the DA Form is being prepared for submission. Note. On DA Form s for AMEDD officers attached to the APMC who do not complete AT or ECT, use code 19 AHRC Directed. Reference: Table 2 24 DA Form , part I: block j Period Covered Action required: The period covered is the period extending from the day after the THRU date of the last OER to the date of the event causing the DA Form to be written. The rating period is that portion of the period covered during which the rated officer serves in an assigned position under the rater who is writing the DA Form The period covered and the rating period will always end on the same date (the THRU date of the DA Form ). The beginning date of the rating period may not be the same as the beginning date of the period covered (the FROM date). For example, an officer departs on permanent change of station (PCS) on 1 July and is given a Change of Rater evaluation report with a THRU date of 30 June. After 5 days of in-transit travel and 20 days of leave, the officer reports for duty at his or her new unit on 26 July. Then, on 1 November, the officer changes duty (but the rater remains the same) and is given a Change of Duty evaluation report. The period covered on this DA Form would be 1 July ( FROM date) to 31 October ( THRU date); however, the rating period would be from 26 July to 31 October. Note. The THRU date on Change of Rater and Change of Duty DA Form s will be the day before the change takes effect. Likewise, for rated officers signing out on transition leave, the THRU date will be the rated officer s final duty day in the assigned duty position before transition leave begins. Use the YYYYMMDD format for FROM and THRU dates. On DA Form s for AMEDD officers attached or assigned to the APMC who do not complete AT or ECT, the THRU date will be based on the rated officer s retired year end (RYE) date for code 19 AHRC Directed DA Form s. DA Form , part I: block k Rated Months Action required: Compute the number of rated months by counting the total number of calendar days in the rating period and dividing it by 30. Note. Do not use the number of days in the entire period covered by the DA Form The rated months equal the period covered minus all nonrated time. After dividing by 30, if there are 15 or more days left, count them as a whole month (for example, 130 days is 4 months and 10 days and is entered as 4 months; 140 days is 4 months and 20 days and is entered as 5 months). DA Form , part I: block l Nonrated Codes Action required: Enter the appropriate nonrated codes. If there was no qualifying nonrated time during the period covered, leave blank. Entries in part I, block k are not required for ARNG officers not on active duty. Reference: Table 2 25 DA Form , part I: block m Number of Enclosures Action required: Indicate the total number of enclosures. If there are no enclosures, enter 0 or leave blank. DA Form , part I: block n Rated Officer s Address Action required: Enter the rated officer s.gov or.mil address. If the official.mil address exceeds the allowable character space, enter the address prior to symbol, (for example, marry.long thatexceedstextspace@) Part II, authentication This part of the form is for authentication by the rated officer and rating officials after the DA Form has been completed at the end of the rating period. To facilitate the rated officer in signing the DA Form after 16 DA PAM November 2015

27 authentication by the rating officials, the DA Form can be signed and dated by each individual in the rating chain up to 14 days prior to the THRU date; however, the DA Form cannot be forwarded to HQDA until the THRU date of the DA Form Rating officials names can be automatically entered by using SSNs and the first two letters of the last name in the Wizard application within the EES. The following rules apply: a. The senior rater s signature and date cannot be before the rater s or intermediate rater s signatures. b. The rated officer s signature and date cannot be before the rater s, the intermediate rater s, or the senior rater s signatures. Table 2 2 Authentication for DA Form DA Form , part II: blocks a (1 through 7) Rater s Information Action required: Enter the rater s information - name (last, first, MI, suffix) in capital lettersssn (for example, ) /rank/position/ signature/ /validation date. As an alternative to providing an SSN, individuals possessing a DOD issued CAC may provide their unique 10-digit DOD identification number (located on the reverse side of the CAC). The rank entry will be current as of the THRU date of the DA Form A P is added to the rank only if the rater is promotable and serving in a position authorized for the next higher rank. Rating officials who have been frocked to a higher rank and are serving in the authorized position for the frocked rank will enter the frocked rank. Use of an official address as the permanent address will facilitate HQDA contact concerning the DA Form , should the need arise. As a minimum, an address ending in.gov or.mil will be used. If the official.mil address exceeds the allowable character space, enter the address prior to symbol, (for example, marry.long thatexceedstextspace@). Note. The rater s signature and date are required on the completed DA Form For raters of other Services, enter appropriate rank abbreviation. For example, a Navy captain would be entered as CAPT in the rank block. Civil service raters will enter the pay grade (general manager (GM), general government (GG), general schedule (GS), and/or universally administrative (UA) #) in the rank block; for members of the senior executive service, SES will be entered in lieu of a rank or pay grade. For members authorized by an exception to policy or who are not in any category above, enter appropriate grade level. For allied forces officers serving as a rater, enter the rater s country or country abbreviation in parentheses after their name (for example, (AU), (Italy), and (GBR)). Allied forces raters of U.S. Army officers will require an international rater identification number issued by HRC, Evaluations branch. Once issued, this identification number will be inserted within the SSN data field. Requests for an international rater identification number will be submitted to HRC, Evaluations branch (see app B for contact information and address). The request will include: justification, allied forces officer s complete name, rank, country, duration of report period covered, contact information to include a valid address. See figure 2-10 for a sample request. Additionally, the request may identify a delegate, who will provide assistance to the allied forces rating official on evaluation matters. The delegate will be a CAC enabled U.S. Army officer or DA civilian able to access EES. Once approved, HRC will issue the allied forces rating official an international rater identification number. Note: Allied forces rating officials may not have the ability to sign evaluations digitally with CAC signature. In these instances, reports will require signature by manual methods and submission of the reports through authorized alternate methods (see AR 623-3). Other entered data remains the same. If the senior rater is serving both as the rater and senior rater, the senior rater s information and signature will be entered in parts II, blocks a and c. Note. On DA Form s for AMEDD officers attached or assigned to the APMC who do not complete AT or ECT, the Commander, APMC will serve as rater and senior rater with no other rating officials and will sign the DA Form in part II, both blocks a and c (as a senior rater who does not meet eligibility requirements to evaluate the rated officer) for code 19 AHRC Directed DA Form s. DA Form , part II: blocks b (1 through 7) Intermediate Rater s Information Action required: Enter the intermediate rater s information - name (last, first, MI, suffix) in capital letters, SSN (Optional) (for example, ) rank, position, signature, , validation date. As an alternative to providing an optional SSN, individuals possessing a DOD issued CAC may provide their unique 10-digit DOD identification number (located on the reverse side of the CAC).The rank entry will be current as of the THRU date of the DA Form A P is added to the rank only if the intermediate rater is promotable and serving in a position authorized for the next higher rank. Rating officials who have been frocked to a higher grade and are serving in the authorized position for the frocked rank will enter the frocked rank. Use of an official address as the permanent address will facilitate HQDA contact concerning the DA Form , should the need arise. As a minimum, an address ending in.gov or.mil will be used. Note. The intermediate rater s signature and date are required on the completed DA Form For intermediate raters of other Services enter appropriate rank abbreviation. For example, a Navy captain would be entered as CAPT in the rank block. Civil service raters will enter the pay grade (GM, GG,GS, or UA-#) in the rank block; for members of the SES, SES will be entered in lieu of a rank or pay grade. For members authorized by an exception to policy or not in any category above, enter appropriate grade level. For allied forces rating officials, enter the intermediate rater s country or country abbreviation in parentheses after the name (for example, (AU), (Italy), and (GBR)). Leave the SSN (DOD ID No.) data blank. Other data remain the same. DA PAM November

28 Table 2 2 Authentication for DA Form Continued DA Form , part II: blocks c (1 through 11) Senior Rater s Information Action required: Enter the senior rater s information: name (last, first, MI, suffix) in capital letters, SSN (for example, ), rank, position, signature, validation date/organization/branch/component/telephone number/ address. As an alternative to providing an SSN, individuals possessing a DOD issued CAC may provide their unique 10-digit DOD ID (located on the reverse side of the CAC). Use of an official address as the permanent address will facilitate HQDA contact concerning the DA Form , should the need arise. As a minimum, an address ending in.gov or.mil will be used. If the official.mil address exceeds the allowable character space, enter the address prior to symbol, (for example, marry.long thatexceedstextspace@). The rank entry will be current as of the THRU date of the DA Form A P is added to the rank only if the senior rater is promotable and serving in a position authorized for the next higher rank. Rating officials who have been frocked to a higher rank and are serving in the authorized position for the frocked rank will enter the frocked rank. For Branch, enter the two-character basic branch abbreviation or Voluntary Transfer Incentive Program (VTIP), and/or CFD. For general officers, enter "GO". The two-character branch entry will not be GS. For senior raters of other Services, in addition to their rank, enter their branch of Service (for example, U.S. Navy USN, U.S. Air Force USAF, U.S. Marine Corps USMC, U.S. Coast Guard USCG in the branch block in part II, block c. For example, a U.S. Navy captain would be entered as CAPT in the rank block and USN in the branch block. Civil service raters will enter the pay grade (GM, GG, GS, and/or UA-#) in the rank block; for members of the SES will be entered in lieu of a rank or pay grade. For members authorized by an exception to policy or who are not in any category above, enter appropriate grade level. For DA civilians only enter, DAC as branch; for civilians of other Services within DOD, enter CIV as the branch. Component entry will be RA for Regular Army, USAR for U.S. Army Reserve, ARNG for Army National Guard entered for Army components. All others will enter NONE. The senior rater will sign the DA Form even if he or she is unable to evaluate the rated officer due to lack of qualification. Note. Using the Wizard application of the electronic DA Form , senior raters who lack minimum rating qualification will check the NO box in response to the question Have you been the senior rater for this officer for at least 60 days? to enter the statement I am unable to evaluate the rated officer because I have not been the senior rater for the required number of days in part VI, block c, leaving all other portions of part VI blank. Note. The minimum required time for senior rater eligibility to evaluate the rated officer is 90 days for USAR TPU, DIMA, and drilling IRR officers and ARNG officers. On DA Form s for AMEDD officers attached or assigned to the APMC who do not complete AT or ECT, the Commander, APMC will sign the DA Form in part II, block c as a senior rater who does not meet eligibility requirements to evaluate the rated officer for code 19 AHRC Directed DA Form s. If the senior rater is serving both as the rater and senior rater, the senior rater s information and signature will be entered in part II, blocks a and c. DA Form , part II: blocks d Referred Report Action required: If referral of an DA Form is required, the senior rater will place an X in the appropriate box in part II, block d of the DA Form (before he or she has signed and dated the DA Form ). The DA Form will then be provided to the rated officer for placement of an X in the appropriate box in part II, block d and signature or validation of administrative data. ("YES" if the rated officer will provide comments as an enclosure to the DA Form or "NO" if the rated officer will not provide comments). DA Form , part II: blocks e (1 and 2) Rated Officer s Signature and Date Action required: The rated officer will sign and date the DA Form after it has been completed and signed by all rating officials in the rating chain. The rated officer s signature acknowledges that the rated officer has seen the DA Form , parts I through VI, and verifies the accuracy of the administrative data in part I, the rating officials in part II, and the Army Physical Fitness Test (APFT) and height and weight data in part IV, block a. This action increases administrative accuracy of the DA Form since the rated officer is most familiar with and interested in this information. Confirmation of the administrative data also will normally preclude an appeal by the rated officer based on inaccurate administrative data. Any administrative errors noted by the rated officer will be brought to the attention of the rating officials and corrected prior to their signature. Note. On DA Form s for APMC-managed AMEDD officers who do not complete AT or ECT, block e will be left blank; these officers will not sign the completed DA Form prior to submission to HQDA using the EES in accordance with AR If the rated officer is physically unavailable to sign their DA Form (DA Form cannot be forwarded to him or her to sign), is unable to sign the DA Form digitally or manually, or refuses to sign the DA Form for any reason, the senior rater will either resolve the problem or explain the reason for the lack of a signature. Using the Wizard application of the electronic DA Form , the senior rater will check the appropriate response to the question Is the rated officer available for signature? or the comment Rated Soldier refused to sign. The applicable statement will be entered in part VI, block c ( The rated officer was unavailable for signature and/ or The rated officer refused to sign ). Note. If the rated officer s signature is left blank in part II, block e, and the Wizard application of the electronic DA Form is not used to enter the appropriate statement, the EES may not allow the DA Form to be submitted. DA Form s stating that the officer cannot sign due to CAC issues will not be processed. If the report is adverse or contains derogatory information concerning the rated officer, it must be referred to the rated officer before he or she signs the DA Form Note. Using the electronic DA Form within the EES will allow the senior rater to generate an automated referral memorandum as 18 DA PAM November 2015

29 Table 2 2 Authentication for DA Form Continued a built-in enclosure to the DA Form DA Form , part II: blocks f (1 through 7) Supplementary Review Action required: : A documented supplementary review, will be performed by a Uniformed Army Advisor above the rating chain, when there are no uniformed Army designated rating officials for the rated Officer, for Relief for Cause reports when the senior rater is the individual directing the relief, or if the relief has been directed by an individual other than the rating officials. (see paras 2-29 and 2-30). The first U.S. Army officer above the senior rater in the organization or supervision will be designated as the Uniformed Army Advisor and conduct a supplementary review. This officer will be designated by the commander establishing the rating chain and identified in the published rating scheme at the beginning of the evaluation period. The senior rater will mark Yes or No in block f1 to identify if the DA Form requires a supplementary review. If the Yes box is marked in part II, block f1, enter the name, rank, and position of the reviewer in blocks f2 through f4. The reviewer may prepare an enclosure to the DA Form If necessary, the reviewer will comment upon the accuracy or clarity of the completed DA Form If the reviewer determines the OER is accurate and comments are not necessary, the reviewer will indicate so by selecting the NO in part II, block f5 and sign in part II, block f6 with no added comments necessary. If the reviewer determines comments are necessary, the reviewer will select YES in part II, block f5 of the series OER and prepare and attach an enclosure to the OER and sign in part II, block f6. Comments will not include evaluative statements about the rated officer or statements that amplify, paraphrase, or endorse the ratings of the other members of the rating chain. When required, the supplementary reviewer s signature and date will be annotated on the completed DA Form Note. Supplementary reviews are conducted after rating officials and the rated Soldier have signed the completed evaluation. Note: Using the electronic DA Form within the EES will allow the supplementary reviewer to generate a memorandum as a built-in enclosure to the DA Form when required. Reference: AR 623 3, paragraph 2 8 DA Form , part II: block g MSAF Date Action required: Raters will enter the most current completion date for a multi-source assessment and feedback (MSAF) within 36 months preceding the THRU DATE in accordance with AR If the rated Soldier has not completed a MSAF in accordance with AR 350-1, the entry will be left blank and the rater will provide comment in part IV, block c.6. Rating officials are reminded that the MSAF is a selfassessment tool. Note. For CSL LTC and COL level commanders, the most recent completed CDR360 assessment date will be entered in lieu of the MSAF date. Reference: AR Part III, duty description Part III provides for the duty description of the rated officer. The rating officials are responsible for ensuring that the duty description information is factually correct. Note: The duty description on the DA Form A can be automatically populated to the DA Form in the Wizard application associated with the electronic form within the EES. Table 2 3 Duty description for DA Form DA Form , part III: block a-principal Duty Title Action required: Match principal duty title with unit force structure documents or a principal duty title that describes duties performed; should be the same as the duty title found on the DA Form 4037 (Officer Record Brief) (ORB). Note. On DA Form s for all AMEDD officers attached or assigned to the APMC, the principal duty title will be APMC Managed Officer. DA Form , part III: block b-position area of concentration (AOC) Code/Branch Action required: For commissioned officers, the position area of concentration (AOC)/branch entry will contain, as a minimum, the first five characters of the position requirements code (such as 42B00); seven characters if an additional skill identifier (ASI) is needed; or nine characters if a language identification code is required; should be the same position code as on the DA Form 4037 (ORB). DA PAM November

30 Table 2 3 Duty description for DA Form Continued DA Form , part III: block c Significant Duties and Responsibilities Action required: State the officer s significant duties and responsibilities, written in a succinct narrative (not bullet) format, using the present tense to identify what the rated officer is supposed to do or be responsible for in his or her duty position. Unless changes occurred during the rating period, the duty description on the DA Form should be the same as the one on the DA Form A. The rater will describe in detail the rated officer s duties and responsibilities, the number of personnel supervised, amount of resources under the rated officer s control, and scope of responsibilities. Descriptions must be clear and concise with emphasis on specific functions required of the rated officer. The rater should also note conditions unique to the assignment. For example, RA officers who are assigned to full-time support duties with RC units or USAR officers assigned to RA units often perform unique functions in that duty. In order to ensure that due consideration is given to these factors, the duty description should note these conditions. As a minimum, the duty description will include principal duties and significant additional duties. - When a warrant officer is serving in a commissioned officer position, cite in part III, block c the approval authority from HQDA (see DA Pam ). - When an officer is serving under dual supervision, the statement Officer serving under dual supervision will be entered as the first line of the duty description. The supervisors in each chain of command will jointly develop the duty description. Reference: DA Pam Part IV, performance evaluation-professionalism, attributes, and competencies Part IV provides an assessment of a rated officer s professionalism, performance, and adherence to attributes and core leader competencies (including the APFT and the height and weight entries) focusing on what a leader is and what a leader does. Part IV contains the dimensions of the Army s leadership doctrine that define professionalism for the Army. Attributes are characteristics that are an inherent part of an individual s total core, physical, and intellectual aspects. Attributes shape how individuals behave in their environment and are aligned to identity, presence, and intellectual capacity. Core leader competencies emphasize the roles, functions, and activities of what leaders do. Core leader competencies are complemented by attributes that distinguish high performing leaders of character. Core leader competencies apply across all levels of the organization, across leader positions, and throughout careers. Army Values, Empathy, and Warrior Ethos are critical attributes that define a leader s character and apply across all ranks, positions, branches, and specialties. These attributes are critical to maintain public trust and confidence in the Army and the qualities of leadership and management needed to maintain an effective Officer Corps. Attributes and core leader competencies are on the DA Form series to emphasize and reinforce professionalism. They will be considered in the evaluation of the performance of all officers. See table 2 4 for DA Form attributes and competencies instructions. Table 2 4 Performance evaluation professionalism and Army Values for DA Form DA Form , part IV: block a APFT Action required: In the spaces after APFT, the rater will enter PASS or FAIL and the date (YYYYMMDD) of the most recent record APFT administered by the unit within the 12 month period prior to the THRU date of the DA Form ; however, the APFT date does not always have to be within the period covered on the DA Form If the rated officer was unable to take a record APFT (due to a profile or pregnancy), his or her status at that time will be documented appropriately. The APFT for Soldiers without profiles consists of push-ups, situps, and a 2 mile run. For Soldiers with permanent and temporary profiles who have been cleared to take an alternate APFT, enter PASS or FAIL for the alternate APFT as prescribed by health care personnel. The APFT may include an alternate authorized aerobic event (walk, bike, or swim). No comment about the Soldier s profile is required. For Soldiers with permanent profiles whose profiles prohibit them from taking the APFT, the entry will be left blank and the rater will explain the reason why it has been left blank. Soldiers with temporary profiles at the time of the unit s record APFT will enter PROFILE and the date (YYYYMMDD) the profile was awarded. The date of the profile must be within 12 months prior to the THRU date of the DA Form Sample entries are PASS , FAIL , or PROFILE APFT numerical scores are not formatted entries and will not be entered for this block. The rater will address a FAIL entry for APFT in the narrative space provided in part IV, block a. Comments on FAIL entries may include the reason(s) for failure and/or note any progress toward meeting physical fitness standards (AR 350 1). A comment on PROFILE entries will be made only if the rated officer s ability to perform his or her assigned duties is affected. The rater will explain the absence of an APFT entry in part IV, block a. If the APFT has not been taken within 12 months of the THRU date of the DA Form , the APFT data entry will be left blank. In accordance with AR , an APFT is not required for pregnant officers. For pregnant officers who have not taken the APFT within the last 12 months due to pregnancy, convalescent leave, and temporary profile, the rater will enter the following statement in part IV, block a: Exempt from APFT requirement in accordance with AR Note. When using the Wizard application associated with the electronic form within EES, the APFT and height and weight statement will be combined. In accordance with AR 350 1, officers 55 years of age and older have the option of taking the three-event APFT or an alternate APFT, but they will not be considered as being on profile unless a current profile exists. 20 DA PAM November 2015

31 Table 2 4 Performance evaluation professionalism and Army Values for DA Form Continued Additionally, officers 60 years of age and older have the option of not taking the APFT; however, they must maintain a personal physical fitness program approved by a physician and remain within compliance of height and weight standards of AR If no APFT is taken, leave the APFT entry blank and make the following comment in part IV, block a addressing the blank APFT entry: Officer exempt from APFT requirement in accordance with AR Officers awaiting Basic Officer Leaders Course (BOLC) or Warrant Officer Basic Course (WOBC) attendance may be given an APFT, but no formal record of the score will be maintained. No APFT entry will be made in part IV, block a on the DA Form , and the rater will explain the absence of the entry within the provided comment field of part IV, block a stating: Officer exempt from APFT requirement in accordance with AR The height and weight entry and compliance with the body composition standards of AR will be entered in part IV, block a of the DA Form Deployed units unable to administer the APFT due to mission or conditions will annotate DA Form s in the provided comment field with the following statement: Officer was unable to take the APFT during this period due to deployment for combat operations/ contingency operations. In accordance with AR 350 1, upon return from deployment officers will be administered a record APFT no earlier than 3 months for RA and 6 months for USAR and ARNG officers. Note: Officers are not exempted from complying with height and weight requirements of AR Reference: AR 350 1, AR , and AR DA Form , part IV: block a (continued) Height and Weight Action required: In the spaces after HEIGHT and WEIGHT, the rater will enter the rated officer s height and weight, respectively, as of the unit s last record weigh-in. If there is no unit weigh-in during the period covered by the DA Form , the rater will enter the officer s height and weight as of the THRU date of the DA Form An entry of YES or NO will also be placed in the space next to the weight to indicate compliance or noncompliance with AR Sample entries are HEIGHT: 72, WEIGHT: 180 YES ; HEIGHT: 71, WEIGHT: 225 NO ; or HEIGHT: 73, WEIGHT: 215 YES. For officers 60 years of age and older who must remain in compliance with height and weight standards, the height and weight entry will be completed. Soldiers 60 years of age or older are only exempted from the requirement to take the APFT. For an officer who exceeds the screening table weight (AR 600-9), a YES entry may only be entered after a body composition measurement has been completed and found to be within body composition standards, as determined by tape measurement and the use of DA Form 5500 (Body Fat Content Worksheet (Male)) or DA Form 5501 (Body Fat Content Worksheet (Female)). The rater will comment on a NO entry, indicating noncompliance with the standards of AR 600 9, in part IV, block a. These comments should indicate the reason for noncompliance. Medical conditions may be cited for noncompliance; however, the NO entry is still required because medical waivers to weight control standards are not permitted for DA Form purposes. The progress or lack of progress in a weight control program will be indicated. For pregnant officers, the entire entry is left blank. The rater will enter the following statement in part IV, block a: Exempt from weight control standards of AR Note. When using the Wizard application associated with the electronic form within the EES, the APFT and height and weight statement will be combined. Rating officials will not use the word pregnant nor refer to an officer s pregnancy in any manner when completing the DA Form For rated officers with major limb loss, the entire entry is left blank. The rater will enter the following statement in part IV, block a: Exempt from weight control standards of AR Major limb loss is defined as an amputation above the ankle or above the wrist, which includes full hand and/or full foot loss. It does not include partial hand or foot, or fingers or toes. Rating officials will not refer to the major limb loss in any manner when completing the DA Form For rated officers having an approved Deputy Chief of Staff, G-1 (DCS, G-1) waiver, the entire entry will be left blank. The rater will enter the following statement in part IV, block a Rated officer has a DCS, G 1 waiver of compliance with AR In such cases, a copy of the DCS, G 1 approval memo will be submitted as an enclosure to the DA Form Compliance with AR and the height and weight standards of AR apply at all times, even when the officer is deployed for combat or contingency operations. This entry will not be left blank other than the exceptions indicated above. Reference: AR DA Form , part IV: block b Overall Performance Assessment Action required: The rater makes an assessment of the rated officer s overall performance when compared with all other officers of the same rank the rater has previously rated or currently has in their population. Promotable officers with a P after their current rank, serving in an authorized position of the next higher rank, are considered as officers of the next higher rank in making comparative assessments with contemporaries. On Rater Profile reports, they will be profiled against the next higher rank. This performance is evaluated in terms of the majority of officers in the population. If the performance assessment is consistent with the majority of officers in that grade the rater will place an X in the PROFICIENT box. If the rated officer s performance exceeds that of the majority of officers in the rater s population, the rater will place an X in the EXCELS box. (The intent is for the rater to use this box to identify the upper third of officers for each rank.) In order to maintain a credible profile, the rater must have less than 50 percent of the ratings of a rank in the EXCELS box. Fifty percent or more in the EXCELS box will result in a PROFICIENT label. If the rated officer s performance is below the majority of officers in the rater s population for that grade and the rater believes the rated officer should be further developed, the rater will place an X in the CAPABLE box. If the rated officer s performance is below the majority of officers in the rater s population for that grade and the rater does not believe the rated officer s performance has met standards required of an Army DA PAM November

32 Table 2 4 Performance evaluation professionalism and Army Values for DA Form Continued officer, the rater will place an X in the UNSATISFACTORY box. Note. A rater s subsequent statement that he or she rendered an inaccurate PROFICIENT or lower evaluation of a rated officer s performance in order to preserve an EXCELS ratings for other officers (for example, those in a zone for consideration for promotion, command, or school selection) will not be a basis for an appeal. To ensure maximum rating flexibility when rating populations change or to preclude an EXCELS check from inadvertently profiling as a PROFICIENT rating, raters need to maintain a cushion in the number of EXCELS ratings given rather than impending the line at less than 50 percent. This is best accomplished by limiting the EXCELS box to no more than one-third of all ratings given for officers of a given rank. Note. In order to maintain a credible profile, the rater must have less than 50 percent of the ratings in the EXCELS box for a given rank. A report with an EXCELS rating that causes a rater s profile to have 50 percent or more EXCELS ratings will be processed with a PROFICENT HQDA electronically generated label; however, it will be charged against the rater s profile as an EXCELS, and a documented rater profile misfire will occur. To provide raters flexibility when initially establishing a credible Rater Profile report, the rater will be given a profile credit of three PROFICIENT box checks. This will enable raters first establishing a profile (separated by grade) the ability to use the EXCELS box immediately. The rater is required to maintain a credible profile of less than 50 percent of the ratings of a rank in the EXCELS box. For EES, raters will apply a CAC initial by selecting the LOCK button verifying their profile supports the selected assessment. The LOCK verification cannot be applied earlier than 14 days of the THRU date on the DA Form DA Form s will receive a HQDA electronically generated label that reflects the rater s profile at the time the report is processed at HQDA. Note: Once a rater indicates an assessment and the assessment is then Locked, it is not able to be changed or altered. Change requests to Locked assessments prior to report submission to HRC requires a memorandum request, from the rater s senior rater, to be submitted to Human Resources Command for approval and action. The rater will enter the total number of Army officers, of the same rank as the rated officer, they currently rate. This information, in conjunction with additional information contained on the HQDA electronically generated label, will help HQDA selection boards identify raters with small rating populations and weigh the report accordingly. The rater will also check the appropriate box concerning receipt of the DA Form A; comments are mandatory in part IV, block b for a "NO" entry. Comments are mandatory and should compare the performance of the rated officer with their contemporaries during the evaluation period (see AR 623-3). The focus is on performance results achieved and the manner by which they were achieved. If the rater is serving as both rater and senior rater in accordance with AR 623 3, enter the statement "I am serving as both rater and senior rater in accordance with AR 623 3, paragraph 2 19 (or para 2 20, as applicable), in the comment field of part IV, block b. Rating officials serving as both rater and senior rater will not assess the rated officer s performance by selecting the box check in Part IV, block b. Additional instructions applicable to this situation are described below in table 2 6. DA Form , part IV: blocks c Attributes and Competencies Action required: The rater must quantitatively and qualitatively paint a word picture using short, concise, narrative format capturing the rated officer s performance as it relates to the Leadership Requirements Model, which conveys expectations for Army leaders. Comments are mandatory and should compare the performance of the rated officer with their contemporaries during the evaluation period (see AR 623-3). This focus is on the results achieved and the manner by which they were achieved. Exception requirements exist for when a rating official is serving as both rater and senior rater in table 2-6. DA Form , part IV: block c.1 Character Encompasses elements internal and central to the leader s core consisting of Army Values, empathy, Warrior Ethos/Service Ethos, and discipline. Character is comprised of a person s moral and ethical qualities, helps determine what is right, and gives a leader motivation to do what is appropriate, regardless of the circumstances or consequences. It determines who people are, how they act, helps determine right from wrong, and choose what is right. Action required: Rating officials will comment on how well the rated officer promoted a climate of dignity and respect and adhered to the requirements of the SHARP Program. This assessment should identify, as appropriate, any significant actions or contributions the rated officer made toward 1. Promoting the personal and professional development of subordinates. 2. Ensuring the fair, respectful treatment of unit personnel. 3. Establishing a workplace and overall command climate that fosters dignity and respect for all members of the unit. 4. This assessment should also identify any failures by the rated officer to foster a climate of dignity and respect and adhere to the SHARP Program. Raters will comment on any substantiated finding, in an Army or DOD investigation or inquiry, that the rated officer 1. Committed an act of sexual harassment or sexual assault; 2. Failed to report a sexual harassment or sexual assault; 3. Failed to respond to a complaint or report of sexual harassment or sexual assault; or 4. Retaliated against a person making a complaint or report of sexual harassment or sexual assault. Note: additional comments may be explained and entered in part IV, blocks c.1 through c.6 (if required). 22 DA PAM November 2015

33 Table 2 4 Performance evaluation professionalism and Army Values for DA Form Continued Army Values: Consist of the principles, standards, and qualities considered essential for successful Army leaders. They are fundamental to helping Soldiers and DA civilians make the right decision in any situation. Army Values are an important leader responsibility and an expected standard. Comments, when provided, will refer to a specific value and be included in the narrative (for example, A solid, trustworthy officer whose integrity is beyond reproach. ). A list of Army Values and their definitions follow (a more detailed explanation is available in ADRP 6-22). 1. Loyalty: Bears true faith and allegiance to the U.S. Constitution, the Army, the unit, and other Soldiers. 2. Duty: Fulfills obligations (professional, legal, and moral). 3. Respect: Treats people as they should be treated. 4. Selfless service: Puts the welfare of the Nation, the Army, and subordinates priorities before self. 5. Honor: Adheres to the Army s publicly declared code of values. 6. Integrity: Does what is right, legally and morally. 7. Personal courage: Faces fear, danger, or adversity (physical and moral). Empathy: The ability to see something from another person s point of view, to identify with, and enter into another person s feelings and emotions. Empathy allows the leader to anticipate what others are experiencing and to try to envision how decisions or actions affect them. Army leaders display empathy when they genuinely relate to another person s situation, motives, and feelings. Empathy does not necessarily mean sympathy for another, but identification that leads to a deeper understanding. Warrior Ethos and Service Ethos: The professional attitudes and beliefs that characterize the American Soldier. They reflect a Soldier s selfless commitment to the Nation, mission, unit, and fellow Soldiers. These ethos are developed and sustained through discipline, commitment to the Army Values, and pride in the Army s heritage. The key to the Warrior and Service Ethos are not only physical, tactical, and technical training, but also a mindset developed through purposeful mental preparation. Discipline: At the individual level this is primarily self-discipline, the ability to control one s own behavior. Discipline expresses what the Army Values require willingly doing what is right. Discipline involves attending to the details of organization and administration, which are less urgent than an organization s key tasks, but necessary for efficiency and long-term effectiveness. Examples include an effective Command Supply Discipline Program, Organizational Inspection Programs, and training management. DA Form , part IV: block c2 Presence Is the impression a leader makes on others contributing to his or her success in leading them. This impression is the sum of a leader s outward appearance, demeanor, actions, and words. Presence incorporates a leader s effectiveness when demonstrating military and profession bearing, fitness, confidence, and resilience. Military and professional bearing: Projecting a commanding presence, a professional image of authority. Fitness: Having sound health, strength, and endurance, which sustain emotional health and conceptual abilities under prolonged stress. Confidence: Projecting self-confidence and certainty in the unit s ability to succeed in whatever it does; able to demonstrate composure and outward calm through steady control over emotion. Resilience: The psychological and physical capacity to bounce back from life s stressors repeatedly to thrive in an era of high operational tempo. DA Form , part IV: block c.3 Intellect Draws on the mental tendencies and resources that shape conceptual abilities applied to one s duties and responsibilities. Conceptual abilities enable effective problem solving and sound judgment before implementing concepts and plans. They help one think creatively and reason analytically, critically, ethically, and with cultural sensitivity to consider unintended as well as intended consequences, helping leaders anticipate the second- and third-order effects of their actions. The conceptual components affecting an Army leader s intellect include mental agility, sound judgment, innovation, interpersonal tact, and expertise. Mental agility: Is a flexibility of mind, an ability to anticipate or adapt to uncertain or changing situations. Agility enables thinking through second- and third-order effects when current decisions or actions are not producing the desired results. Sound judgment: Is the capacity to assess situations shrewdly and to draw rational conclusions. Consistent good judgment enables leaders to form sound opinions and make reliable estimates and sensible decisions. Good judgment includes the ability to assess subordinates, peers, and the enemy for strengths and weaknesses to create appropriate solutions and action. Innovation: Is the ability to introduce something new when needed or as opportunities exist. Being innovative includes creativity in producing original and worthwhile ideas. Innovative leaders tend to be inquisitive and good problem solvers. Innovative leaders prevent complacency by finding new ways to challenge subordinates with forward-looking approaches and ideas by relying on intuition, experience, knowledge, and input from subordinates. Interpersonal tact: Interacting with others depends on knowing what others perceive. It relies on accepting the character, reactions, and motives of oneself and others. Interpersonal tact combines these skills, along with recognizing diversity and displaying self-control, balance, and stability in situations. Expertise: Is the special knowledge and skill developed from experience, training, and education. Domain knowledge is what leaders know about application areas used in their duties and positions. Leaders create and use knowledge in at least four domains. Tactical knowledge relates to accomplishing a designated objective through military means. Technical knowledge consists of the specialized information associated with a particular function or system. Joint knowledge is an understanding of Joint organizations, their procedures, and roles in DA PAM November

34 Table 2 4 Performance evaluation professionalism and Army Values for DA Form Continued national defense. Cultural and geopolitical knowledge is awareness of cultural, geographic, and political differences and sensitivities. DA Form , part IV: block c.4: Leads Encompasses five competencies: leads others, extends influence beyond the chain of command, builds trust, leads by example, and communicates. Note: Rating officials may provide additional comments (if needed) evaluating the rated officer on how well the rated officer promoted a climate of dignity and respect and adhered to the requirements of the SHARP Program. Leads others: Measures the ability to influence Soldiers and DA civilians in the leader s organization. Leaders apply character, presence, and intellect to the core leader competencies while guiding others toward a common goal and mission accomplishment. Direct leaders influence others person-to-person, such as a team leader who instructs, encourages hard work, and recognizes achievement. At the direct level, a platoon leader knows what a battalion commander wants done, because the lieutenant understands the commander s intent two levels up. The intent creates a critical link between the organizational and direct leadership levels. Extends influence beyond the chain of command: Involves influencing others when the leader does not have designated authority or when the leader s authority is not recognized by others. Influence refers to how people create and relay their messages, behaviors, and attitudes to affect the intentions, beliefs, behaviors, and attitudes of another person or group of people. Influence depends upon relationships where leaders build positive rapport and a relationship of mutual trust, making followers more willing to support requests. Examples include showing personal interest in a follower s well-being, offering praise, and understanding a follower s perspective. Builds trust: Trust encompasses reliance upon others, confidence in their abilities, and consistency in behavior. Trust builds over time through mutual respect, shared understanding, and common experiences. Communication contributes to trust by keeping others informed, establishing expectations, and developing commitments. Sustaining trust depends on meeting those expectations and commitments. Trust forms and fosters when leaders create a positive command climate by identifying areas of common interest and goals. Teams develop trust through cooperation, identification with other members, and contribution to the team effort. Leads by example: Living by the Army Values and the Warrior Ethos that best displays character and leading by example. It means putting the organization and subordinates above personal self-interest, career, and comfort. For the Army leader, it requires putting the lives of others above a personal desire for self-preservation. Communicates: Ensures there is more than the simple transmission of information. It achieves a new understanding and creates new or better awareness. Communicating critical information clearly is an important skill to reach shared understanding of issues and solutions. It conveys thoughts, presents recommendations, bridges cultural sensitivities, and reaches consensus. Actions can speak louder than words and excellent leaders use this to serve as a role model to set the standard. Leaders communicate to convey clear understanding of what needs to be done and why. DA Form , part IV: block c.5 Develops Developing people and the organization with a long-term perspective requires leaders who: Create a positive environment that fosters esprit de corps and teamwork, promotes cohesion, and encourages initiative and acceptance of responsibility. A leader maintains a healthy balance between caring for people and their Families while focusing on the mission. Seek self-improvement to master the profession at every level, a leader must make a full commitment to lifelong learning. Selfimprovement requires self-awareness and leads to new skills necessary to adapt to changes in the leadership environment. Invest adequate time and effort to develop individual subordinates and build effective teams. Success demands a fine balance of teaching, counseling, coaching, and mentoring. Act as stewards of the profession, making choices and taking actions that ensure that leaders in the future sustain an Army capable of performing its core functions. The rater will comment on how well the officer promoted/supported a healthy workplace environment conducive to the growth and development of personnel when completing the OER. Note: Rating officials may provide additional comments (if needed) evaluating the rated officer on how well the rated officer promoted a climate of dignity and respect and adhered to the requirements of the SHARP Program. DA Form , part IV: block c.6 Achieves Focuses on accomplishing the mission. Mission accomplishment co-exists with an extended perspective towards maintaining and building the organization s capabilities. Achieving begins in the short-term by setting objectives. In the long-term, achieving requires getting results in pursuit of those objectives. Getting results focuses on structuring what to do to produce consistent results. Getting results embraces all actions to get the job done on time and to standard. Results are measured in how well the leader provided direction, guidance, and clear priorities, guiding teams in what needs to be done and how. This, combined with monitoring performance to identify strengths and correct weaknesses in organizations, groups, and individuals, allows for accomplishing missions consistently and ethically. Reference: Army Doctrine Publication (ADP) 6-22, ADRP DA PAM November 2015

35 2 7. Part V, intermediate rater (if applicable) This part of the DA Form is used only if an intermediate rater is included in the rating chain. Part V is for the intermediate rater s assessment of the rated officer s performance and potential. This is the only part of the DA Form that is completed by the intermediate rater. Table 2 5 Intermediate rater for DA Form DA Form , part V: Intermediate Rater (Only be included for specialty branches (Chaplain Corps, JAGC, and AMEDD)), when there is a level of technical supervision between the rater and senior rater, in dual supervisory situations, and when the rater s immediate supervisor would be the logical senior rater, but does not meet senior rater eligibility requirements as outlined in AR 623-3, table 2-1.) Action required: Narrative comments by the intermediate rater are mandatory. Comments should succinctly address the rated officer s performance and potential. Comments may address the rated officer s demonstrated professionalism and/or ability to maintain required standards for credentialing or certification, foreign language skills, or high-level security clearances. Simply stating concurrence with the rater s evaluation does not fulfill the intent of this paragraph. If the intermediate rater has not been in the position the minimum number of days necessary to evaluate the rated officer, he or she will enter the statement I am unable to evaluate the rated officer because I have not been the intermediate rater for the required number of days. If the intermediate rater performs the functions of the rater, as authorized in AR 623 3, they will complete the rater s parts of the DA Form In this case, part V will only cite the authority and reasons for assuming the rater s responsibilities Part VI, senior rater a. Part VI is the senior rater s assessment of the rated officer s potential. Part VI is intended to capitalize on the senior rater s additional experience, broad organizational perspective, and tendency to focus on the organizational requirements and actual performance results. Information on the rated officer s DA Form A is intended to assist the senior rater and supplement more traditional means of evaluation, such, as personal observation, reports and records, and other rating officials. b. To ensure that the senior rater is a senior official qualified to evaluate the rated officer, he or she must meet the minimum requirements in AR c. In evaluating the whole officer, the senior rater makes an assessment of the officer s potential for promotion to the next higher grade when compared with other officers. In doing so, a senior rater must carefully manage the percentage of their MOST QUALIFIED ratings and must, therefore, be aware of when an officer will be in a zone of consideration for promotion, command, or school selection in order to render MOST QUALIFIED ratings accordingly. Note: A senior rater s subsequent statement that he or she rendered an inaccurate HIGHLY QUALIFIED or lower evaluation of a rated officer s potential in order to preserve MOST QUALIFIED ratings for other officers (for example, those in a zone for consideration for promotion, command, or school selection) will not be a basis for an appeal. d. Senior raters who meet minimum qualification criteria established in AR will complete part VI, block a. An officer whose rank on an DA Form is a P (a promotable officer serving in an authorized position of the next higher rank) receiving a rating in part VI, block a. will be profiled against the senior rater s profile for the next higher rank. An example is a 1LT(P) serving in an authorized CPT position will be profiled against the senior rater s CPT profile population. If the 1LT(P) is not serving in an authorized CPT position, they will be profiled against the senior rater s 1LT profile population. Table 2 6 Senior rater for DA Form DA Form , part VI: block a Potential Box Check Action required: The senior rater makes an assessment of the rated officer s overall potential when compared with all other officers of the same rank the senior rater has previously rated or currently has in his or her population. Promotable officers with a P after their current rank, serving in an authorized position of the next higher rank, are considered as officers of the next higher rank in making comparative assessments with contemporaries. On Senior Rater Profile reports, they will be profiled against the next higher rank. This potential is evaluated in terms of the majority of officers in the population. If the potential assessment is consistent with the majority of officers in that grade the senior rater will place an X in the HIGHLY QUALIFIED box. If the rated officer s potential exceeds that of the majority of officers in the senior rater s population, the senior rater will place an X in the MOST QUALIFIED box. (The intent is for the senior rater to use this box to identify the upper third of officers for each rank.) In order to maintain a credible profile, the senior rater must have less than 50 percent of the ratings of a rank in the MOST QUALIFIED top box. Fifty percent or more in the MOST QUALIFIED top box will result in a HIGHLY QUALIFIED label. If the rated officer s potential is adequate, but beneath the majority of officers in the senior rater s population for that grade and the senior rater believes the rated officer should be retained for further development, the senior rater will place an X in the QUALIFIED box. If the rated officer s potential is below the majority of officers in the senior rater s population for that grade and the senior rater does not believe the rated officer should be retained, the senior rater will place an X in the NOT DA PAM November

36 Table 2 6 Senior rater for DA Form Continued QUALIFIED box. Note. In order to maintain a credible profile, the senior rater must have less than 50 percent of the ratings in the MOST QUALIFIED box for a given rank. An DA Form with a MOST QUALIFIED rating that causes a senior rater s profile to have 50 percent or more MOST QUALIFIED ratings will be processed with a HIGHLY QUALIFIED HQDA electronically generated label; however, it will be charged against the senior rater s profile as a MOST QUALIFIED DA Form if it is unresolved, and a documented senior rater profile misfire will occur. To ensure maximum rating flexibility when rating populations change or to preclude a MOST QUALIFIED top box check from inadvertently profiling as a HIGHLY QUALIFIED rating, senior raters need to maintain a cushion in the number of MOST QUALIFIED ratings given rather than impending to the line at less than 50 percent. This is best accomplished by limiting the MOST QUALIFIED top box to no more than one-third of all ratings given for officers of a given rank. To provide senior raters flexibility when initially establishing a credible Senior Rater Profile report, the first single MOST QUALIFIED top box report processed against the senior rater s profile at that grade will generate a MOST QUALIFIED label, regardless of the actual profile. All other reports will receive an HQDA electronically generated label that reflects the senior rater s profile at the time the report is processed. DA Form , part VI: block b Number of Officers Senior Rated Action required: The senior rater will enter the total number of Army officers of the same rank as the rated officer he or she currently senior rates. This information, in conjunction with additional information contained on the HQDA electronically generated label, will help HQDA selection boards identify senior raters with small rating populations and weigh the report accordingly. Note. Promotable officers with a P after their current rank, serving in an authorized position of the next higher rank, are considered as officers of the next higher rank in making comparative assessments with contemporaries. DA Form , part VI: block c Senior Rater Narrative Action required: Narrative comments by the senior rater on rated officer s potential are mandatory. Simply stating concurrence with the rater s or intermediate rater s evaluation does not fulfill the intent of this paragraph. When the senior rater has not been in the position the minimum number of days necessary to evaluate the rated officer, he or she will enter the following statement in part VI, block c: I am unable to evaluate the rated officer because I have not been the senior rater for the required number of days. In these cases, all other entries in part VI, blocks a, b, and d will be left blank. Note. Senior raters will use the Wizard application associated with the electronic form within the EES to automatically enter the appropriate statement in part VI, block c, if he or she is unable to evaluate the rated officer. On DA Form s for AMEDD officers attached or assigned to the APMC who do not complete AT or ECT, the Commander, APMC will enter the statement that he or she is unable to evaluate the rated officer, using the Wizard application associated with the electronic form within the EES. All other entries in part VI will be left blank. The senior rater enters narrative comments in this block. Bullet comments are prohibited. Potential comments should primarily focus on the rated officer s potential for promotion, command, schooling (military and civilian), broadening assignments, successive duty assignments and level of assignments, and/or retention, when applicable. Anything unusual about the DA Form will also be noted here (for example, APFT and height and weight data or explanatory comments, if not included; lack of rated officer s signature; signatures are out of sequence on the report; changes in an evaluation resulting from rated officer comments; and that multiple referral attempts have been made to the rated officer). Senior raters will comment on any substantiated finding, in an Army or Department of Defense investigation or inquiry, that a rated officer: (1) committed an act of sexual harassment or sexual assault; (2) failed to report a sexual harassment or assault; (3) failed to respond to a complaint or report of sexual harassment or sexual assault; (4) retaliated against a person making a complaint or report of sexual harassment or sexual assault. Note. If the rated officer is physically unavailable to sign (and cannot have it forwarded to him or her to sign), unable to sign, or refuses to sign the DA Form , for any reason, the senior rater will either resolve the problem or use the Wizard application associated with the electronic form within the EES to automatically enter the appropriate statement explaining why the rated officer s signature is left blank in part II, block e1. Otherwise, the EES may not allow the DA Form to be submitted. An DA Form stating that the officer cannot sign due to CAC issues is unacceptable and such reports will not be processed. The report will not be delayed because it lacks the rated officer s signature. If the senior rater s evaluation is based on infrequent observation of the rated officer, this fact should be noted. Senior raters may also comment on the fact the rated officer is in a rating population that includes three officers or fewer. The senior rater may not comment on, or make reference to, actual placement of the box check in part VI, block a, or how the rated officer would be profiled. In cases when the senior rater is also serving as the rater, he or she will complete parts IV, blocks a and c.1. in the rater s portion of the DA Form Part IV, block b comments will be used to cite the authority for the rating official to act as both rater and senior rater. (Appropriate comments for part IV, block b "comments" include "Serving as rater and senior rater in accordance with AR 623 3, paragraphs 2 19 (or para 2 20 as applicable) or "Serving as rater and senior rater in accordance with the CG, HRC exception to policy." when applicable.) The senior rater may add additional comments addressing the performance of the rated officer within the comments section of part IV, block b; however, the senior rater will not complete the box check assessment in part IV, block b. The senior rater is required to complete part IV, block c.1 Character. Remaining sections (part IV, blocks c.2 through c.6) are optional for completion by the senior rater. Promotion potential comments will be entered in part VI, block c. The senior rater will sign the DA Form in both the 26 DA PAM November 2015

37 Table 2 6 Senior rater for DA Form Continued senior rater s and the rater s signature blocks. DA Form , part VI: block d Three Future (Successive) Assignments Action required: The senior rater will list up to three (with a minimum of two) different successive duty positions (by job title) in which the rated officer is best suited to serve based on the rated officer s demonstrated potential, focusing on the next 3 to 5 years of service. Note. An exception to this rule exists for DA Form s on which the rater indicates UNSATISFACTORY and the senior rater indicates a rating of NOT QUALIFIED. On these DA Form only, no successive duty positions are required. Section IV DA Form (Field Grade Plate O4 through O5 and CW3 through CW5) 2 9. Part I, administrative data Part I is for administrative data, including identification of the rated officer, unit data, the period covered, number of rated months, nonrated time codes, and the reason for submission of the DA Form See table 2 24 for a list of codes and reasons for submitting OERs and table 2 25 for the codes and reasons for nonrated periods. Table 2 7 Administrative data for DA Form DA Form , part I: block a Name Action required: Enter the rated officer s full name (last, first, MI, suffix) in capital letters. DA Form , part I: block b SSN Action required: Enter the rated officer s full nine-digit SSN (for example, ). As an alternative to providing an SSN, individuals possessing a DOD issued CAC may provide their unique 10-digit DOD ID (located on the reverse side of the CAC). DA Form , part I: block c Rank Action required: : Enter the rated officer s three-letter rank abbreviation, not pay grade (for example, MAJ for major or CW3 for chief warrant officer three) as of the THRU date of the DA Form If the rated officer has been selected for promotion and is serving in a position authorized for the next higher rank, he or she will be rated in the promotable rank and a P will be placed after his or her current rank (for example, CPTP and CW3P ). If the rated officer is not assigned to a position authorized for the higher rank, no P will be entered after the rank. If the rated officer has been frocked to the next higher rank and is serving in a position authorized for the rank to which he or she is frocked, enter the frocked rank. If the rated officer has been frocked to a higher rank but is not yet serving in a position authorized for the higher rank, enter the lower rank. Note: For ARNG officers, promotions and/or promotable status dates are determined by state adjutant generals; these dates are not based on release dates of promotion selection lists. (See AR para 2-11). Reference: AR DA Form , part I: block d Date of Rank Action required: Enter the date of rank (YYYYMMDD) for the rated officer s rank as of the THRU date of the DA Form If the officer is promotable, but not yet promoted, the date of rank is for the current rank. If the rated officer has been frocked to a higher rank and is serving in an authorized position, enter the effective date of the frocking. If the rated officer has been frocked to a higher rank and is not yet serving in an authorized position requiring the higher rank, enter the date of rank of the lower rank. DA Form , part I: block e Branch Action required: Enter the rated officer s two-character basic branch abbreviation or Voluntary Transfer Incentive Program (VTIP)/Career Field Designation (CFD). For general officers, enter "GO." Reference: DA Pam DA Form , part I: block f COMP Status Code Action required: For USAR or ARNG, enter status code as follows: IRR individual ready reserve (or IRR MOB for mobilized IRR Soldier). IMA individual mobilization augmentee (or IMA MOB for mobilized IMA Soldiers). DA PAM November

38 Table 2 7 Administrative data for DA Form Continued DIMA drilling individual mobilization augmentee (or DIMAMOB for mobilized DIMA Soldiers). TPU troop program unit. ADOS active duty for operational support. AGR active guard reserve. MOB mobilized Soldier. CO ADOS contingency operations-active duty for operational support. ADOS RC active duty for operational support-reserve Component. M DAY man-day ARNG traditional Soldiers. DA Form , part I: block g Unit, Org., Station, ZIP Code or APO, Major Command Action required: Enter the rated officer s unit, organization, station, zip code, or APO, and Major Command in the order listed on the DA Form Note. The Wizard application within the EES may not automatically enter deployed unit data; however, it may be changed manually on the DA Form The USAR must include the appropriate major USAR command or USAR general officer command. On DA Form s for AMEDD officers assigned or attached to the APMC who do not complete AT or ECT, use the APMC address with AR MEDCOM as the major command. The address should reflect the rated officer s location as of the THRU date of the DA Form While in a deployed status, indicate the data of the deployed unit. Alternatively, indicate the parent unit s address with duty at (abbreviated w/dy at ) the Soldier s deployed unit location. DA Form , part I: block h UIC Action required: Enter the rated officer s UIC. Note. This code can be automatically populated by within the electronic form in the Evaluation Entry System, if unknown. If it is incorrect, it can be manually corrected. DA Form , part I: block i Reason for Submission Action required: Enter the appropriate DA Form code (left block) and reason (right block) that identify why the DA Form is being prepared for submission. Note. On DA Form s for AMEDD officers attached to the APMC who do not complete AT or ECT, use code 19 AHRC Directed. Reference: Table 2 24 DA Form , part I: block j Period Covered Action required: The period covered is the period extending from the day after the THRU date of the last evaluation report to the date of the event causing the DA Form to be written. The rating period is that portion of the period covered during which the rated officer serves in an assigned position under the rater who is writing the DA Form The period covered and the rating period will always end on the same date (the THRU date of the DA Form ). The beginning date of the rating period may not be the same as the beginning date of the period covered (the FROM date). For example, an officer departs on PCS on 1 July and is given a Change or Rater evaluation report with a THRU date of 30 June. After 5 days of in-transit travel and 20 days of leave, the officer reports for duty at his or her new unit on 26 July. Then, on 1 November, the officer changes duty (but the rater remains the same) and is given a Change of Duty DA Form The period covered on this DA Form would be 1 July ( FROM date) to 31 October ( THRU date); however, the rating period would be from 26 July to 31 October. Note. The THRU date on Change of Rater and Change of Duty DA Form s will be the day before the change takes effect. Likewise, for rated officers signing out on transition leave, the THRU date will be the rated officer s final duty day in the assigned duty position before transition leave begins. Use the YYYYMMDD format for FROM and THRU dates. On DA Form s for AMEDD officers attached or assigned to the APMC who do not complete AT or ECT, the THRU date will be based on the rated officer s RYE date for code 19 AHRC Directed DA Form s. DA Form , part I: block k Rated Months Action required: The number of rated months is computed by counting the total number of calendar days in the rating period and dividing it by 30. Note. Do not use the number of days in the entire period covered by the DA Form The rated months will equal the period covered minus all nonrated time. After dividing by 30, if there are 15 or more days left, count them as a whole month (for example, 130 days is 4 months and 10 days and is entered as 4 months; 140 days is 4 months and 20 days and is entered as 5 months). DA Form , part I: block l Nonrated Codes Action required: Enter the appropriate nonrated codes. If there was no qualifying nonrated time during the period covered, leave blank. Entries in part I, block I are not required for ARNG officers not on active duty. Reference: Table DA PAM November 2015

39 Table 2 7 Administrative data for DA Form Continued DA Form , part I: block m Number of Enclosures Action required: Indicate the total number of enclosures. If there are no enclosures, enter 0 or leave blank. DA Form , part I: block n Rated Officer s Address Action required: Enter the rated officer s.gov or.mil address. If the official.mil address exceeds the allowable character space, enter the address prior to symbol, (for example, marry.long thatexceedstextspace@) Part II, authentication This part of the DA Form is for authentication by the rated officer and rating officials after the DA Form has been completed at the end of the rating period. To facilitate the rated officer in signing the DA Form after authentication by the rating officials, the DA Form can be signed and dated by each individual in the rating chain up to 14 days prior to the THRU date of the DA Form ; however, the DA Form cannot be forwarded to HQDA until the THRU date of the DA Form Rating officials names can be automatically entered by using SSNs and the first two characters of the last name in the electronic form within the EES. The following rules apply: a. The senior rater s signature and date cannot be before the rater s or intermediate rater s signatures. b. The rated officer s signature and date cannot be before the rater s, the intermediate rater s, or the senior rater s signatures. Table 2 8 Authentication for the DA Form DA Form , part II: blocks a (1 through 7) Rater s Information Action required: Enter the rater s information name (last, first, MI, suffix) in capital letters, SSN (for example, ), rank, position, signature, , and validation date. As an alternative to providing an SSN, individuals possessing a DOD issued CAC may provide their unique 10-digit DOD ID (located on the reverse side of the CAC). The rank entry will be current as of the THRU date of the DA Form A P is added to the rank only if the rater is promotable and serving in a position authorized for the next higher rank. Rating officials who have been frocked to a higher rank and are serving in the authorized position for the frocked rank will enter the frocked rank. Use of an official address as the permanent address will facilitate HQDA contact concerning the DA Form , should the need arise. As a minimum, an address ending in.gov or.mil will be used. If the official.mil address exceeds the allowable character space, enter the address prior to symbol, (for example, marry.long thatexceedstextspace@). Note. The rater s signature and date are required on the completed DA Form For raters of other Services, enter appropriate rank abbreviation. For example, a U.S. Navy captain would be entered as CAPT in the rank block. Civil service raters will enter the pay grade (GM, GG, GS, orua-#) in the rank block; for members of the senior executive service, SES will be entered in lieu of a rank or pay grade. For members authorized by an exception to policy or who are not in any category above, enter appropriate grade level. For allied forces officers serving as a rater, enter the rater s country or country abbreviation in parentheses after his or her name (for example, (AU), (Italy), and (GBR)). Allied forces raters of U.S. Army officers will require a international rater identification number issued by HRC, Evaluations branch. Once issued, this identification number will be inserted within the SSN data field. Requests for a international rater identification number will be submitted to HRC, Evaluations branch (see app B for contact information and address). The request will include: justification, allied forces officer s complete name, rank, country, duration of report period covered, contact information to include a valid address. See figure 2-10 for a sample request. Additionally, the request may identify a delegate, who will provide assistance to the allied forces rating official on evaluation matters. The delegate will be a CAC-enabled U.S. Army officer or DA civilian able to access EES. Once approved, HRC will issue the allied forces rating official an international rater identification number. Note: Allied forces rating officials may not have the ability to sign evaluations digitally with CAC signature. In these instances, reports will require signature by manual methods and submission of reports through authorized alternate methods (see AR 623-3). Other entered data remains the same. If the senior rater is serving both as the rater and senior rater, the senior rater s information and signature will be entered in part II, blocks a and c. Note. On DA Form s for AMEDD officers attached or assigned to the APMC who do not complete AT or ECT, the Commander, APMC will serve as rater and senior rater with no other rating officials and will sign the DA Form in part II, both blocks a and c (as a senior rater who does not meet eligibility requirements to evaluate the rated officer) for code 19 AHRC Directed DA Form s. DA PAM November

40 Table 2 8 Authentication for the DA Form Continued DA Form , part II: blocks b (1 through 7) Intermediate Rater s Information Action required: Enter the intermediate rater s information - name (last, first, MI, suffix) in capital letters, SSN (optional) (for example, ), rank, position, signature, , and validation date As an alternative to providing an optional SSN, individuals possessing a DOD issued CAC may provide their unique 10-digit DOD identification number (located on the reverse side of the CAC). The rank entry will be current as of the THRU date of the DA Form A P is added to the rank only if the intermediate rater is promotable and serving in a position authorized for the next higher rank. Rating officials who have been frocked to a higher grade and are serving in the authorized position for the frocked rank will enter the frocked rank. Use of an official address as the permanent address will facilitate HQDA contact concerning the DA Form , should the need arise. As a minimum, an address ending in.gov or.mil will be used. Note. The intermediate rater s signature and date are required on the completed DA Form For intermediate raters of other Services enter appropriate rank abbreviation. For example, a U.S. Navy captain would be entered as CAPT in the rank block. Civil service raters will enter the pay grade (GM, GG, GS, or UA-#) in the rank block; for members of the senior executive service, SES will be entered in lieu of a rank or pay grade. For members authorized by exception to policy or not in any category above, enter appropriate grade level. For allied forces rating officials, leave the SSN blank. Enter the intermediate rater s country or country abbreviation in parentheses after the name (for example, (AU), (Italy), and (GBR)). Other data remain the same. DA Form , part II: blocks c (1 through 11) Senior Rater s Information Action required: Enter the senior rater s information name (last, first, MI, suffix) in capital letters, SSN (for example, ), rank, position, signature, validation date,organization, branch, component, telephone number, and address. As an alternative to providing an SSN, individuals possessing a DOD issued CAC may provide their unique 10-digit DOD ID (located on the reverse side of the CAC). Use of an official address as the permanent address will facilitate HQDA contact concerning the DA Form , should the need arise. As a minimum, an address ending in.gov or.mil will be used. If the official.mil address exceeds the allowable character space, enter the address prior to symbol, (for example, marry.long thatexceedstextspace@). The rank entry will be current as of the THRU date of the DA Form A P is added to the rank only if the senior rater is promotable and serving in a position authorized for the next higher rank. Rating officials who have been frocked to a higher rank and are serving in the authorized position for the frocked rank will enter the frocked rank. For Branch, enter the two-character basic branch abbreviation or VTIP/CFD. For general officers, enter "GO" The two-character branch entry will not be GS. For senior raters of other Services, in addition to their rank, enter their branch of Service (for example, U.S. Navy USN, U.S. Air Force USAF, U.S. Marine Corps USMC, U.S. Coast Guard USCG in the branch block in part II, block c. For example, a U.S. Navy captain would be entered as CAPT in the rank block and USN in the branch block. Civil service raters will enter the pay grade (GM/GG/GS/UA- #) in the rank block; for members of the senior executive service, SES will be entered in lieu of a rank or pay grade. For members authorized by an exception to policy or who are not in any category above, enter appropriate grade level. For DA civilians only enter DAC as branch; for civilians of other Services within DOD, enter CIV as the branch. Component entry will be RA for Regular Army, USAR for U.S. Army Reserve, ARNG for Army National Guard entered for Army components. All others will enter NONE. The senior rater will sign the DA Form even if they are unable to evaluate the rated officer due to lack of qualification. Note. The senior rater s signature and date are required on the completed DA Form even if he or she is unable to evaluate the rated officer due to lack of qualification. Using the electronic form within the EES, senior raters who lack minimum rating qualification will check the NO box in response to the question Have you been the senior rater for this officer for at least 60 days? to enter the statement I am unable to evaluate the rated officer because I have not been the senior rater for the required number of days in part VI, block c, leaving all other portions of part VI blank. Note. The minimum required time for senior rater eligibility to evaluate the rated officer is 90 days for USAR TPU, DIMA, and drilling IRR officers and ARNG officers. On DA Form s for AMEDD officers attached or assigned to the APMC who do not complete AT or ECT, the Commander, APMC will sign the DA Form in part II, block c as a senior rater who does not meet eligibility requirements to evaluate the rated officer for code 19 AHRC Directed DA Form s. If the senior rater is serving both as the rater and senior rater, the senior rater s information and signature will be entered in part II, blocks a and c. DA Form , part II: blocks d Referred Report Action required: If referral of a DA Form is required, the senior rater will place an X in the appropriate box in part II, block d of the DA Form (before they have signed and dated the DA Form ). The DA Form will then be provided to the rated officer for placement of an X in the appropriate box in part II, block d, signature and validation of administrative data. ("YES" if the rated officer will provide comments as an enclosure to the DA Form or "NO" if the rated officer will not provide comments.) 30 DA PAM November 2015

41 Table 2 8 Authentication for the DA Form Continued DA Form , part II: blocks e Rated Officer s Signature Action required: The rated officer will sign and date the DA Form after it has been completed and signed by all rating officials in the rating chain. The rated officer s signature acknowledges that the rated officer has seen the DA Form , parts I through VI, and verifies the accuracy of the administrative data in part I, the rating officials in part II, and the APFT and height and weight data in part IV, block a. This action increases administrative accuracy of the DA Form since the rated officer is most familiar with and interested in this information. Confirmation of the administrative data also will normally preclude an appeal by the rated officer based on inaccurate administrative data. Any administrative errors noted by the rated officer will be brought to the attention of the rating officials and corrected prior to their signature. Note. On DA Form s for APMC-managed AMEDD officers who do not complete AT/ECT, block e will be left blank; these officers will not sign the completed DA Form prior to submission to HQDA using EES in accordance with AR If the rated officer is physically unavailable to sign their DA Form (and the DA Form cannot be forwarded to them to sign), is unable to sign the DA Form digitally or manually, or refuses to sign the DA Form for any reason, the senior rater will either resolve the problem or explain the reason for the lack of a signature. Using the electronic form within the EES, the senior rater will check the appropriate response to the question Is the rated officer available for signature? or the comment Rated Soldier refused to sign. The applicable statement will be entered in part VI, block c ( The rated officer was unavailable for signature and/or The rated officer refused to sign ). Note. If the rated officer s signature is left blank in part II, block e, and the electronic form within the EES is not used to enter the appropriate statement, the EES may not allow the DA Form to be submitted. DA Form s stating that the officer cannot sign due to CAC issues will not be processed. If the DA Form is adverse or contains derogatory information concerning the rated officer, it must be referred to the rated officer before he or she signs the DA Form Note. Using the electronic form within the EES will allow the senior rater to generate an automated referral memorandum as a built-in enclosure to the DA Form DA Form , part II: blocks f1 through f7 Supplementary Review Action required: A documented supplementary review, will be performed by a Uniformed Army Advisor above the rating chain, when there are no uniformed Army designated rating officials for the rated Officer, for Relief for Cause reports when the senior rater is the individual directing the relief, or if the relief has been directed by an individual other than the rating officials. (see paras 2-29 and 2-30). The first U.S. Army officer above the senior rater in the organization or supervision will be designated as the Uniformed Army Advisor and conduct a supplementary review. This officer will be designated by the commander establishing the rating chain and identified in the published rating scheme at the beginning of the evaluation period. The senior rater will mark Yes or No in block f1 to identify if the DA Form requires a supplementary review. If the Yes box is marked in part II, block f1, enter the name, rank, and position of the reviewer in blocks f2 through f4. The reviewer may prepare an enclosure to the DA Form If necessary, the reviewer will comment upon the accuracy or clarity of the completed DA Form If the reviewer determines the OER is accurate and comments are not necessary, the reviewer will indicate so by selecting the NO in part II, block f5 and sign in part II, block f6 with no added comments necessary. If the reviewer determines comments are necessary, the reviewer will select YES in part II, block f5 of the series OER and prepare and attach an enclosure to the OER and sign in part II, block f6. Comments will not include evaluative statements about the rated officer or statements that amplify, paraphrase, or endorse the ratings of the other members of the rating chain. When required, the supplementary reviewer s signature and date will be annotated on the completed DA Form Note. Supplementary reviews are conducted after rating officials and the rated Soldier have signed the completed evaluation. Note. Using the electronic DA Form within the Evaluation Entry System will allow the senior rater to generate an automated referral memorandum as a built-in enclosure to the DA Form Reference: AR 623 3, paragraph 2 8 DA Form , part II: block g MSAF Date Action required: Raters will enter the most current completion date for a multi-source assessment and feedback (MSAF) within 36 months preceding the THRU DATE in accordance with AR If the rated Soldier has not completed a MSAF in accordance with AR 350 1, the entry will be left blank and the rater will provide comment in part IV, block d.2. Rating officials are reminded that the MSAF is a selfassessment tool. Note. For CSL LTC and COL level commanders, the most recent completed CDR360 assessment date will be entered in lieu of the MSAF date. Reference: AR Part III, duty description Part III provides for the duty description of the rated officer. The rating officials are responsible for ensuring that the duty description information is factually correct. DA PAM November

42 Note. The duty description on the DA Form A can be automatically populated to the DA Form using the electronic form within the Evaluation Entry System. Table 2 9 Duty description for DA Form DA Form , part III: block a-principal Duty Title Action required: Match principal duty title with unit force structure documents or a principal duty title that describes duties performed; should be the same as the duty title found on the DA Form 4037 (ORB). Note. On DA Form s for all AMEDD officers attached or assigned to the APMC, the principal duty title will be APMC Managed Officer. DA Form , part III: block b-position area of concentration (AOC) Code/Branch Action required: For commissioned officers, this entry will contain, as a minimum, the first five characters of the position requirements code (such as 42B00); seven characters if an ASI is needed; or nine characters if a language identification code is required; should be the same position code as on the DA Form 4037 (ORB). DA Form , part III: block c-significant Duties and Responsibilities Action required: State the officer s significant duties and responsibilities, written in a succinct narrative (not bullet) format, using the present tense to identify what the rated officer is supposed to do or be responsible for in their duty position. Unless changes occurred during the rating period, the duty description on the DA Form should be the same as the one on the DA Form A. The rater will describe in detail the rated officer s duties and responsibilities, the number of personnel supervised, amount of resources under the rated officer s control, and scope of responsibilities. Descriptions must be clear and concise with emphasis on specific functions required of the rated officer. The rater should also note conditions unique to the assignment. For example, RA officers who are assigned to full-time support duties with RC units or USAR officers assigned to RA units often perform unique functions in that duty. In order to ensure that due consideration is given to these factors, the duty description should note these conditions. As a minimum, the duty description will include principal duties and significant additional duties. When a warrant officer is serving in a commissioned officer position, cite in part III, block c the approval authority from HQDA (see DA Pam ). When an officer is serving under dual supervision, the statement Officer serving under dual supervision will be entered as the first line of the duty description. The duty description will be jointly developed by the supervisors in each chain of command. Reference: DA Pam Part IV, Performance evaluation-professionalism, competencies and attributes Part IV provides an assessment of a rated officer s professionalism, performance, and adherence to attributes and core leader competencies (including the APFT and the height and weight entries) focusing on what a leader is and what a leader does. Part IV contains the dimensions of the Army s leadership doctrine that define professionalism for the Army officer. Attributes are characteristics that are an inherent part of an individual s total core, physical, and intellectual aspects. Attributes shape how an individual behaves in their environment and are aligned to identity, presence, and intellectual capacity. Core leader competencies emphasize the roles, functions, and activities of what leaders do. Core leader competencies are complemented by attributes that distinguish high performing leaders of character. Core leader competencies apply across all levels of the organization, across leader positions, and throughout careers. Army Values, Empathy, and Warrior Ethos are critical attributes that define a leader s character and apply across all ranks, positions, branches, and specialties. These attributes are critical to maintain public trust and confidence in the Army and the qualities of leadership and management needed to maintain an effective Officer Corps. Attributes and core leader competencies are on the DA Form series to emphasize and reinforce professionalism. They will be considered in the evaluation of the performance of all officers. See table 2 10 for OER attributes and competencies instructions. Table 2 10 Performance evaluation professionalism and Army Values for the DA Form DA Form , part IV: block a APFT Action required: In the spaces after APFT, the rater will enter PASS or FAIL and the date (YYYYMMDD) of the most recent record APFT administered by the unit within the 12 month period prior to the THRU date of the DA Form ; however, the APFT date does not always have to be within the period covered on the DA Form If the rated officer was unable to take a record APFT (due to a profile or pregnancy), his or her status at that time will be documented appropriately. The APFT for Soldiers without profiles consists of push-ups, situps, and a 2 mile run. For Soldiers with permanent and temporary profiles who have been cleared to take an alternate APFT, enter PASS or FAIL for the alternate APFT as prescribed by health care personnel. The APFT may include an alternate authorized aerobic event (walk, bike, or swim). No comment about the Soldier s profile is required. 32 DA PAM November 2015

43 Table 2 10 Performance evaluation professionalism and Army Values for the DA Form Continued For Soldiers with permanent profiles whose profiles prohibit them from taking the APFT, the entry will be left blank and the rater will explain the reason why it has been left blank. Soldiers with temporary profiles at the time of the unit s record APFT will enter PROFILE and the date (YYYYMMDD) the profile was awarded. The date of the profile must be within 12 months prior to the THRU date of the DA Form Sample entries are PASS , FAIL , or PROFILE APFT numerical scores will not be entered. The rater will address a FAIL entry for APFT in the narrative space provided in part IV, block a. Comments on FAIL entries may include the reason(s) for failure and/or note any progress toward meeting physical fitness standards (see AR 350 1). A comment on PROFILE entries will be made only if the rated officer s ability to perform his or her assigned duties is affected. The rater will explain the absence of an APFT entry in part IV, block a. If the APFT has not been taken within 12 months of the THRU date of the DA Form , the APFT data entry will be left blank. In accordance with AR , an APFT is not required for pregnant officers. For pregnant officers who have not taken the APFT within the last 12 months due to pregnancy, convalescent leave, and temporary profile, the rater will enter the following statement in part IV, block a: Exempt from APFT requirement in accordance with AR Note. When using the electronic form within the EES, the APFT and height and weight statement will be combined. In accordance with AR 350 1, officers 55 years of age and older have the option of taking the three-event APFT or an alternate APFT, but they will not be considered as being on profile unless a current profile exists. Additionally, officers 60 years of age and older have the option of not taking the APFT; however, they must maintain a personal physical fitness program approved by a physician and remain within compliance of height and weight standards of AR If no APFT is taken, leave the APFT entry blank and make the following comment in part IV, block a addressing the blank APFT entry: Officer exempt from APFT requirement in accordance with AR Officers awaiting BOLC or WOBC attendance may be given an APFT, but no formal record of the score will be maintained. No APFT entry will be made in part IV, block a on the DA Form , and the rater will explain the absence of the entry within the provided comment field of part IV, block a stating: Officer exempt from APFT requirement in accordance with AR The height and weight entry and compliance with the body composition standards of AR will be entered in part IV, block a of the DA Form Deployed units unable to administer the APFT due to mission or conditions will annotate DA Form s in the provided comment field with the following statement: Officer was unable to take the APFT during this period due to deployment for combat operations contingency operations. In accordance with AR 350 1, upon return from deployment officers will be administered a record APFT no earlier than 3 months for RA and 6 months for USAR and ARNG officers. Note. Officers are not exempted from complying with height and weight requirements of AR Reference: AR 350 1, AR , and AR DA Form , part IV: block a (continued) Height and Weight Action required: In the spaces after HEIGHT and WEIGHT the rater will enter the rated officer s height and weight, respectively, as of the unit s last record weigh-in. If there is no unit weigh-in during the period covered by the DA Form , the rater will enter the officer s height and weight as of the THRU date of the DA Form An entry of YES or NO will also be placed in the space next to the weight to indicate compliance or noncompliance with AR Sample entries are HEIGHT: 72, WEIGHT: 180 YES ; HEIGHT: 71, WEIGHT: 225 NO ; or HEIGHT: 73, WEIGHT: 215 YES. For officers 60 years of age and older who must remain in compliance with height and weight standards, the height and weight entry will be completed. Soldiers 60 years of age or older are only exempted from the requirement to take the APFT. For an officer who exceeds the screening table weight, a YES entry may only be entered after a body composition measurement has been completed and found to be within body composition standards, as determined by tape measurement and the use of DA Form 5500 or DA Form The rater will comment on a NO entry, indicating noncompliance with the standards of AR in part IV, block a. These comments should indicate the reason for noncompliance. Medical conditions may be cited for noncompliance; however, the NO entry is still required because medical waivers to weight control standards are not permitted for DA Form purposes. The progress or lack of progress in a weight control program will be indicated. For pregnant officers, the entire entry is left blank. The rater will enter the following statement in part IV, block a: Exempt from weight control standards of AR Note. When using the electronic form within the EES, the APFT and height and weight statement will be combined. Rating officials will not use the word pregnant nor refer to an officer s pregnancy in any manner when completing the DA Form For rated officers with major limb loss, the entire entry is left blank. The rater will enter the following statement in part IV, block a: Exempt from weight control standards of AR Major limb loss is defined as an amputation above the ankle or above the wrist, which includes full hand and/or full foot loss. It does not include partial hand or foot, or fingers or toes. Rating officials will not refer to the major limb loss in any manner when completing the DA Form For rated officers having an approved DCS, G-1 waiver, the entire entry will be left blank. The rater will enter the following statement in part IV, block a Rated officer has a DCS, G 1 waiver of compliance with AR In such cases, a copy of the DCS, G 1 approval memo will be submitted as an enclosure to the DA Form Compliance with AR 600 9, the height and weight standards of AR apply at all times, even when the officer is deployed for combat or contingency operations. This entry will not be left blank other than the exceptions indicated above. DA PAM November

44 Table 2 10 Performance evaluation professionalism and Army Values for the DA Form Continued DA Form , part IV: block b Broadening Assignments Action required: The rater may list up to three different broadening duty positions (by job title) in which the rated officer is best suited to serve based on the rated officer s demonstrated performance. Broadening assignments are developmental positions that provide exposure to experiences outside the officer s core branch or FA competencies. Broadening assignments develop a wider range of knowledge and skills, augment understanding of the full spectrum of Army missions, promote practical application of language training or increase cross-cultural exposure, and expand officer awareness of other governmental agencies, units, or environments. Examples are Army Sponsored Fellowships and Scholarships; Multinational and Coalition Trainer; higher-level DA staff positions. Reference: DA Pam DA Form , part IV: block c Operational Assignments Action required: The rater may list up to three different operational duty positions (by job title) in which the rated officer is best suited to serve based on the rated officer s demonstrated performance, focusing on the next 3 to 5 years of service. Operational assignments are essentially any assignment where the rated officer would not be in an institutional training assignment. Reference: DA Pam DA Form , part IV: blocks d Attributes and Competencies Action required: The rater must quantitatively and qualitatively paint a word picture using short concise narrative format capturing the rated officer s performance as it relates to the Leadership Requirements Model, which conveys expectations for Army leaders. Comments are mandatory and should compare the performance of the rated officer with their contemporaries during the evaluation period (see AR 623-3). The focus is on the results achieved and the manner by which they are achieved. Exception requirements exist for when a rating official is serving as both rater and senior rater in table DA Form , part IV: block d.1 Character Encompasses elements internal and central to a leader s core consisting of Army Values, empathy, Warrior Ethos Service Ethos, and discipline. Character is comprised of a person s moral and ethical qualities, helps determine what is right and gives a leader motivation to do what is appropriate, regardless of the circumstances or consequences. It determines who people are, how they act, helps determine right from wrong, and choose what is right. Action required: Rating officials will comment on how well the rated officer promoted a climate of dignity and respect and adhered to the requirements of the SHARP Program. This assessment should identify, as appropriate, any significant actions or contributions the rated officer made toward 1. Promoting the personal and professional development of subordinates. 2. Ensuring the fair, respectful treatment of unit personnel. 3. Establishing a workplace and overall command climate that fosters dignity and respect for all members of the unit. 4. This assessment should also identify any failures by the rated officer to foster a climate of dignity and respect and adhere to the SHARP Program. Raters will comment on any substantiated finding, in an Army or DOD investigation or inquiry, that the rated officer 1. Committed an act of sexual harassment or sexual assault. 2. Failed to report a sexual harassment or sexual assault. 3. Failed to respond to a complaint or report of sexual harassment or sexual assault. 4. Retaliated against a person making a complaint or report of sexual harassment or sexual assault. Note: additional comments may be explained and entered in part IV, block d.2 (if required). Army Values: Consist of the principles, standards, and qualities considered essential for successful Army leaders. They are fundamental to helping Soldiers and DA civilians make the right decision in any situation. Army Values are an important leader responsibility and an expected standard. Comments, when provided, will refer to a specific value and be included in the narrative (for example, A solid, trustworthy officer whose integrity is beyond reproach. ). A list of Army Values and their definitions follow (a more detailed explanation can be found in ADRP 6-22). 1. Loyalty: Bears true faith and allegiance to the U.S. Constitution, the Army, the unit, and other Soldiers. 2. Duty: Fulfills obligations (professional, legal, and moral). 3. Respect: Treats people as they should be treated. 4. Selfless service: Puts the welfare of the Nation, the Army, and subordinate priorities before self. 5. Honor: Adheres to the Army s publicly declared code of values. 6. Integrity: Does what is right, legally and morally. 7. Personal courage: Faces fear, danger, or adversity (physical and moral). Empathy: The ability to see something from another person s point of view, to identify with, and enter into another person s feelings and emotions. Empathy allows the leader to anticipate what others are experiencing and to try to envision how decisions or actions affect them. Army leaders display empathy when they genuinely relate to another person s situation, motives, and feelings. Empathy does not necessarily mean sympathy for another, but identification that leads to a deeper understanding. 34 DA PAM November 2015

45 Table 2 10 Performance evaluation professionalism and Army Values for the DA Form Continued Warrior Ethos and Service Ethos: The professional attitudes and beliefs that characterize the American Soldier. They reflect a Soldier s selfless commitment to the Nation, mission, unit, and fellow Soldiers. These ethos are developed and sustained through discipline, commitment to the Army Values, and pride in the Army s heritage. The key to the Warrior and Service Ethos are not only physical, tactical, and technical training but also a mindset developed through purposeful mental preparation. Discipline: At the individual level this is primarily self-discipline, the ability to control one s own behavior. Discipline expresses what the Army Values require willingly doing what is right. Discipline involves attending to the details of organization and administration, which are less urgent than an organization s key tasks, but necessary for efficiency and long-term effectiveness. Examples include an effective Command Supply Discipline Program, Organizational Inspection Programs, and training management. DA Form , part IV: block d.2 Narrative comments, which demonstrate performance regarding field grade attributes and competencies in the rated officer s current duty position. The rater must quantitatively and qualitatively paint a word picture using short, concise, narrative format capturing the rated officer s performance as it relates to the Leadership Requirements Model, which convey expectations Army leaders strive to meet. The rater will comment on how well the officer promoted/supported a healthy workplace environment conducive to the growth and development of personnel when completing the OER. Note: Rating officials may provide additional comments (if needed) evaluating the rated officer on how well the rated officer promoted a climate of dignity and respect and adhered to the requirements of the SHARP Program. Presence: Is the impression a leader makes on others contributing to his or her success in leading them. This impression is the sum of a leader s outward appearance, demeanor, actions, and words. Presence incorporates a leader s effectiveness when demonstrating military and profession bearing, fitness, confidence, and resilience. Military and professional bearing: Projecting a commanding presence, a professional image of authority. Fitness: Having sound health, strength, and endurance, which sustain emotional health and conceptual abilities under prolonged stress. Confidence: Projecting self-confidence and certainty in the unit s ability to succeed in whatever it does; able to demonstrate composure and outward calm through steady control over emotion. Resilience: The psychological and physical capacity to bounce back from life s stressors repeatedly to thrive in an era of high operational tempo. Intellect: Draws on the mental tendencies and resources that shape conceptual abilities applied to one s duties and responsibilities. Conceptual abilities enable effective problem solving and sound judgment before implementing concepts and plans. They help one think creatively and reason analytically, critically, ethically, and with cultural sensitivity to consider unintended as well as intended consequences, helping leaders anticipate the second- and third-order effects of their actions. The conceptual components affecting an Army leader s intellect include mental agility, sound judgment, innovation, interpersonal tact, and expertise. Mental agility: Is a flexibility of mind, an ability to anticipate or adapt to uncertain or changing situations. Agility enables thinking through second- and third-order effects when current decisions or actions are not producing the desired results. Sound judgment: Is the capacity to assess situations shrewdly and to draw rational conclusions. Consistent good judgment enables leaders to form sound opinions and make reliable estimates and sensible decisions. Good judgment includes the ability to assess subordinates, peers, and the enemy for strengths and weaknesses to create appropriate solutions and action. Innovation: Is the ability to introduce something new when needed or as opportunities exist. Being innovative includes creativity in producing original and worthwhile ideas. Innovative leaders tend to be inquisitive and good problem solvers. Innovative leaders prevent complacency by finding new ways to challenge subordinates with forward-looking approaches and ideas by relying on intuition, experience, knowledge, and input from subordinates. Interpersonal tact: Interacting with others depends on knowing what others perceive. It relies on accepting the character, reactions, and motives of oneself and others. Interpersonal tact combines these skills, along with recognizing diversity and displaying self-control, balance, and stability in situations. Expertise: Is the special knowledge and skill developed from experience, training, and education. Domain knowledge is what leaders know about application areas used in their duties and positions. Leaders create and use knowledge in at least four domains. Tactical knowledge relates to accomplishing a designated objective through military means. Technical knowledge consists of the specialized information associated with a particular function or system. Joint knowledge is an understanding of Joint organizations, their procedures, and roles in national defense. Cultural and geopolitical knowledge is awareness of cultural, geographic, and political differences and sensitivities. Leads: Encompasses five competencies: leads others, extends influence beyond the chain of command, builds trust, leads by example, and communicates. Leads others: Measures the ability to influence Soldiers and DA civilians in the leader s organization. Leaders apply character, presence, and intellect to the core leader competencies while guiding others toward a common goal and mission accomplishment. Direct leaders influence others person-to-person, such as a team leader who instructs, encourages hard work, and recognizes achievement. Organizational and strategic leaders guide their organizations using indirect means of influence. Extends influence beyond the chain of command: Involves influencing others when the leader does not have designated authority or when the leader s authority is not recognized by others. Influence refers to how people create and relay their messages, behaviors, and attitudes to affect the intentions, beliefs, behaviors, and attitudes of another person or group of people. Influence depends upon relationships where leaders build positive rapport and a relationship of mutual trust, making followers more willing to support requests. Examples include showing DA PAM November

46 Table 2 10 Performance evaluation professionalism and Army Values for the DA Form Continued personal interest in a follower s well-being, offering praise, and understanding of a follower s perspective. Builds trust: Trust encompasses reliance upon others, confidence in their abilities, and consistency in behavior. Trust builds over time through mutual respect, shared understanding, and common experiences. Communication contributes to trust by keeping others informed, establishing expectations, and developing commitments. Sustaining trust depends on meeting those expectations and commitments. Trust forms and fosters when leaders create a positive command climate by identifying areas of common interest and goals. Teams develop trust through cooperation, identification with other members, and contribution to the team effort. Leads by example: Living by the Army Values and the Warrior Ethos best displays character and leading by example. It means putting the organization and subordinates above personal self-interest, career, and comfort. For the Army leader, it requires putting the lives of others above a personal desire for self-preservation. Communicates: Ensures there is more than the simple transmission of information. It achieves a new understanding and creates new or better awareness. Communicating critical information clearly is an important skill to reach shared understanding of issues and solutions. It conveys thoughts, presents recommendations, bridges cultural sensitivities, and reaches consensus. Actions can speak louder than words and excellent leaders use this to serve as a role model to set the standard. Leaders communicate to convey clear understanding of what needs to be done and why. Develops: Developing people and the organization with a long-term perspective requires leaders who: Create a positive environment that fosters esprit de corps and teamwork, promotes cohesion, and encourages initiative and acceptance of responsibility. A leader maintains a healthy balance between caring for people and their Families while focusing on the mission. Seek self-improvement to master the profession at every level, a leader must make a full commitment to lifelong learning. Self-improvement requires self-awareness and leads to new skills necessary to adapt to changes in the leadership environment. Invest adequate time and effort to develop individual subordinates and build effective teams. Success demands a fine balance of teaching, counseling, coaching, and mentoring. Act as stewards of the profession, making choices and taking actions that ensure that leaders in the future sustain an Army capable of performing its core functions. Achieves: Focuses on accomplishing the mission. Mission accomplishment co-exists with an extended perspective towards maintaining and building the organization s capabilities. Achieving begins in the short-term by setting objectives. In the long-term, achieving requires getting results in pursuit of those objectives. Getting results focuses on structuring what to do to produce consistent results. Getting results embraces all actions to get the job done on time and to standard. Results are measured in how well the leader provided direction, guidance, and clear priorities, guiding teams in what needs to be done and how. This combined with monitoring performance to identify strengths and correct weaknesses in organizations, groups, and individuals allows for accomplishing missions consistently and ethically. Action required: N/A Reference: ADP 6-22 and ADRP 6-22 DA Form , part IV: block e Overall Performance Assessment Action required: The rater makes an assessment of the rated officer s overall performance when compared with all other officers of the same rank the rater has previously rated or currently has in their population. Note. Promotable officers with a P after their current rank, serving in an authorized position of the next higher rank, are considered as officers of the next higher rank in making comparative assessments with contemporaries. On Rater Profile Reports, they will be profiled against the next higher rank. This performance is evaluated in terms of the majority of officers in the population. If the performance assessment is consistent with the majority of officers in that grade the rater will place an X in the PROFICIENT box. If the rated officer s performance exceeds that of the majority of officers in the rater s population, the rater will place an X in the EXCELS box. (The intent is for the rater to use this box to identify the upper third of officers for each rank). In order to maintain a credible profile, the rater must have less than 50 percent of the ratings of a rank in the EXCELS box. Fifty percent or more in the EXCELS box will result in a PROFICIENT label. If the rated officer s performance is below the majority of officers in the rater s population for that grade and the rater believes the rated officer should be further developed, the rater will place an X in the CAPABLE box. If the rated officer s performance is below the majority of officers in the rater s population for that grade and the rater does not believe the rated officer s performance has met standards required of an Army officer, the rater will place an X in the UNSATISFACTORY box. Note. A rater s subsequent statement that he or she rendered an inaccurate PROFICIENT or lower evaluation of a rated officer s performance in order to preserve an EXCELS ratings for other officers (for example, those in a zone for consideration for promotion, command, or school selection) will not be a basis for an appeal. To ensure maximum rating flexibility when rating populations change or to preclude an EXCELS check from inadvertently profiling as a PROFICIENT rating, raters need to maintain a cushion in the number of EXCELS ratings given rather than impending to the line at less than 50 percent. This is best accomplished by limiting the EXCELS box to no more than one-third of all ratings given for officers of a given rank. Note. In order to maintain a credible profile, the rater must have less than 50 percent of the ratings in the EXCELS box for a given rank. A OER with an EXCELS rating that causes a rater s profile to have 50 percent or more EXCELS ratings will be processed with a PROFICENT HQDA electronically generated label; however, it will be charged against the rater s profile as an EXCELS, and a documented rater profile misfire will occur. To provide raters flexibility when initially establishing a credible Rater Profile report, the rater will be given a profile credit of three PROFICIENT box checks. This will enable raters first establishing a profile (separated by grade) the ability to use the EXCELS box immediately. The rater is required to maintain a credible profile of less than 50 percent of the ratings of a rank in the EXCELS box. 36 DA PAM November 2015

47 Table 2 10 Performance evaluation professionalism and Army Values for the DA Form Continued For EES, raters will apply a CAC initial by selecting the LOCK button verifying their profile supports the selected assessment. The LOCK verification cannot be applied earlier than 14 days of the THRU date on the DA Form DA Form s will receive a HQDA electronically generated label that reflects the rater s profile at the time the report is processed at HQDA. Note: Once a rater indicates an assessment and the assessment is then Locked, it is not able to be changed or altered. Change requests to Locked assessments prior to report submission to HRC requires a memorandum request, from the rater s senior rater, to be submitted to HRC for approval and action. The rater will enter the total number of Army officers of the same rank as the rated officer he or she currently rates. This information, in conjunction with additional information contained on the HQDA electronically generated label, will help HQDA selection boards identify raters with small rating populations and weigh the OER report accordingly. The rater will also check the appropriate box concerning receipt of the DA Form A; comments are mandatory in part IV, block e for a "NO" entry. Comments are mandatory and should compare the performance of the rated officer with his or her contemporaries (AR 623 3) during the evaluation period. The focus is on performance results achieved and the manner by which they were achieved. Exception requirements exist for when a rating official is serving as both rater and senior rater in table If the rater is serving as both rater and senior rater in accordance with AR 623 3, enter the statement "I am serving as both rater and senior rater in accordance with AR 623 3, paragraph 2 19 (or para 2 20, as applicable), in the comment field of part IV, block e. Rating officials serving as both rater and senior rater will not assess the rated officer s performance by selecting the box check in Part IV, block e. An exception exists for part IV, block e box check assessment when serving as rater and senior rater for warrant Officers in the rank of CW4P and CW5. For these ranks only, the box check assessment in part IV, block e will be completed. Additional instructions applicable to this situation are described below in table Part V, intermediate rater (if applicable) This part of the DA Form is used only if an intermediate rater is included in the rating chain. Part V is for the intermediate rater s assessment of the rated officer s performance and potential. This is the only part of the DA Form that is completed by the intermediate rater. Table 2 11 Intermediate rater for DA Form , part V DA Form , part V: Intermediate Rater (Only be included for specialty branches (Chaplain Corps, Judge Advocate Corps (JAGC), and AMEDD)), when there is a level of technical supervision between the rater and senior rater, in dual supervisory situations, and when the rater s immediate supervisor would be the logical senior rater, but does not meet senior rater eligibility requirements as outlined in AR 623 3, table 2 1.) Action required: Narrative comments by the intermediate rater are mandatory. Comments should succinctly address the rated officer s performance and potential. Comments may address the rated officer s demonstrated professionalism and/or ability to maintain required standards for credentialing or certification, foreign language skills, or high-level security clearances. Simply stating concurrence with the rater s evaluation does not fulfill the intent of this paragraph. If the intermediate rater has not been in the position the minimum number of days necessary to evaluate the rated officer, they will enter the statement I am unable to evaluate the rated officer because I have not been the intermediate rater for the required number of days. If the intermediate rater performs the functions of the rater, as authorized in AR 623 3, they will complete the rater s parts of the DA Form In this case, part V will only cite the authority and reasons for assuming the rater s responsibilities Part VI, senior rater a. Part VI is the senior rater s assessment of the rated officer s potential. Part VI is intended to capitalize on the senior rater s additional experience, broad organizational perspective, and tendency to focus on the organizational requirements and actual performance results. Information on the rated officer s DA Form A is intended to assist the senior rater and supplement more traditional means of evaluation, such as personal observation, reports and records, and other rating officials. b. To ensure that the senior rater is a senior official qualified to evaluate the rated officer, he or she must meet the minimum requirements that are set forth in AR c. In evaluating the whole officer, the senior rater makes an assessment of the officer s potential for promotion to the next higher grade when compared with other officers. In doing so, a senior rater must carefully manage the percentage of his or her MOST QUALIFIED ratings and must, therefore, be aware of when an officer will be in a zone of consideration for promotion, command, or school selection in order to render MOST QUALIFIED ratings accordingly. Note: A senior rater s subsequent statement that he or she rendered an inaccurate HIGHLY QUALIFIED or lower evaluation of a rated officer s potential in order to preserve MOST QUALIFIED ratings for other officers (for DA PAM November

48 example, those in a zone for consideration for promotion, command, or school selection) will not be a basis for an appeal. d. Senior raters who meet minimum qualification criteria established in AR will complete part VI, block a. An officer whose rank on an DA Form is a P (a promotable officer serving in an authorized position of the next higher rank) receiving a rating in part VI, block a will be profiled against the senior rater s profile for the next higher rank. For example, a MAJ(P) serving in an authorized LTC position will be profiled against the senior rater s LTC profile population. If the MAJ(P) is not serving in an authorized LTC position, he or she will be profiled against the senior rater s MAJ profile population. Table 2 12 Senior rater for DA Form DA Form , part V: block a Potential Box Check Action required: The senior rater makes an assessment of the rated officer s overall potential when compared with all other officers of the same rank the senior rater has previously rated or currently has in his or her population. Note. Promotable officers with a P after their current rank, serving in an authorized position of the next higher rank, are considered as officers of the next higher rank in making comparative assessments with contemporaries. On Senior Rater Profile reports, they will be profiled against the next higher rank. This potential is evaluated in terms of the majority of officers in the population. If the potential assessment is consistent with the majority of officers in that grade the senior rater will place an X in the HIGHLY QUALIFIED box. If the rated officer s potential exceeds that of the majority of officers in the senior rater s population, the senior rater will place an X in the MOST QUALIFIED box. (The intent is for the senior rater to use this box to identify the upper third of officers for each rank.) In order to maintain a credible profile, the senior rater must have less than 50 percent of the ratings of a rank in the MOST QUALIFIED top box. Fifty percent or more in the MOST QUALIFIED top box will result in a HIGHLY QUALIFIED label. If the rated officer s potential is adequate, but beneath the majority of officers in the senior rater s population for that grade and the senior rater believes the rated officer should be retained for further development, the senior rater will place an X in the QUALIFIED box. If the rated officer s potential is below the majority of officers in the senior rater s population for that grade and the senior rater does not believe the rated officer should be retained, the senior rater will place an X in the NOT QUALIFIED box. Note. In order to maintain a credible profile, the senior rater must have less than 50 percent of the ratings in the MOST QUALIFIED box for a given rank. An DA Form with a MOST QUALIFIED rating that causes a senior rater s profile to have 50 percent or more MOST QUALIFIED ratings will be processed with a HIGHLY QUALIFIED HQDA electronically generated label; however, it will be charged against the senior rater s profile as a MOST QUALIFIED DA Form if it is unresolved, and a documented senior rater profile misfire will occur. To ensure maximum rating flexibility when rating populations change or to preclude a MOST QUALIFIED top box check from inadvertently profiling as a HIGHLY QUALIFIED rating, senior raters need to maintain a cushion in the number of MOST QUALIFIED ratings given rather than impending to the line at less than 50 percent. This is best accomplished by limiting the MOST QUALIFIED top box to no more than one-third of all ratings given for officers of a given rank. To provide senior raters flexibility when initially establishing a credible Senior Rater Profile report, the first single MOST QUALIFIED top box report processed against the senior rater s profile at that grade will generate a MOST QUALIFIED label, regardless of the actual profile. All other reports will receive an HQDA electronically generated label that reflects the senior rater s profile at the time the report is processed. Note: Part VI, block a will not be completed on promotable CW4s serving in an authorized position of the next higher rank and CW5s. An HQDA electronically generated label, which states No Box Check, will be placed over the boxes in Part VI, block a. DA Form , part V: block b Number of Officers Senior Rated Action required: The senior rater will enter the total number of Army officers of the same rank as the rated officer he or she currently senior rates. This information, in conjunction with additional information contained on the HQDA electronically generated label, will help HQDA selection boards identify senior raters with small rating populations and weigh the OER accordingly. Note. Promotable officers with a P after their current rank, serving in an authorized position of the next higher rank, are considered as officers of the next higher rank in making comparative assessments with contemporaries. DA Form , part V: c Senior Rater Narrative Action required: Narrative comments by the senior rater on rated officer s potential are mandatory. Simply stating concurrence with the rater s or intermediate rater s evaluation does not fulfill the intent of this paragraph. When the senior rater has not been in the position the minimum number of days necessary to evaluate the rated officer, he or she will enter the following statement in part VI, block c: I am unable to evaluate the rated officer because I have not been the senior rater for the required number of days. In these cases, all other entries in part VI, blocks a, b, and d will be left blank. Note. Senior raters will use the electronic form within the EES to automatically enter the appropriate statement in the DA Form , part VI, block c, if he or she is unable to evaluate the rated officer. On DA Form s for AMEDD officers attached or assigned to the APMC who do not complete AT or ECT, the Commander, APMC will enter the statement that they are unable to evaluate the rated officer, using the electronic form within the EES. All other entries in part VI will be left blank. The senior rater enters narrative comments in this block. Bullet comments are prohibited. Potential comments should primarily focus on the rated officer s potential for promotion, command, schooling (military and civilian), broadening assignments, successive duty 38 DA PAM November 2015

49 Table 2 12 Senior rater for DA Form Continued assignments, and level of assignments, and/or retention, when applicable. Anything unusual about the DA Form will also be noted here (for example, APFT and height and weight data or explanatory comments, if not included; lack of rated officer s signature; signatures are out of sequence on the DA Form ; changes in an evaluation resulting from rated officer comments; that multiple referral attempts have been made to the rated officer). Senior raters will comment on any substantiated finding, in an Army or Department of Defense investigation or inquiry, that a rated officer: (1) committed an act of sexual harassment or sexual assault; (2) failed to report a sexual harassment or sexual assault; (3) failed to respond to a complaint or report of sexual harassment or sexual assault; (4) retaliated against a person making a complaint or report of sexual harassment or sexual assault. Note. If the rated officer is physically unavailable to sign (and cannot have it forwarded to him or her to sign), unable to sign, or refuses to sign the DA Form , for any reason, the senior rater will either resolve the problem or use the electronic form within the EES to automatically enter the appropriate statement explaining why the rated officer s signature is left blank in part II, block e1. Otherwise, the EES may not allow the DA Form to be submitted. An DA Form stating that the officer cannot sign due to CAC issues is unacceptable and such DA Form s will not be processed. The DA Form will not be delayed because it lacks the rated officer s signature. If the senior rater s evaluation is based on infrequent observation of the rated officer, this fact should be noted. Senior raters may also comment on the fact the rated officer is in a rating population that includes three officers or fewer. The senior rater may not comment on, or make reference to, actual placement of the box check in part VI, block a, the boxes, or how the rated officer would be profiled. In cases when the senior rater is also serving as the rater, he or she will complete parts IV, blocks a through d1 in the rater s portion of the DA Form Part IV, block e comments section will be used to cite the authority for the rating official to act as both rater and senior rater. (Appropriate comments for part IV, block e comments section include Serving as rater and senior rater in accordance with AR 623 3, paragraphs (or para 2 20, as appropriate) or Serving as rater and senior rater in accordance with the CG, HRC exception to policy. when applicable.) The senior rater will not complete the box check assessment in part IV, block e. The senior rater may add additional comments addressing the performance of the rated officer within part IV, block e comments section. Part IV, block d2 is optional. All blocks in part VI will be completed. Promotion potential comments will be entered in part VI, block c. The senior rater will sign the DA Form in both the senior rater s and the rater s signature blocks. When serving as rater and senior rater for warrant Officers in the ranks of CW4P and CW5, the senior rater box check in part VI, block a is not selected, however, the overall performance box check selection in part IV, block e will be completed. This exception is only authorized for these two ranks. DA Form , part V: block d Three Future (Successive) Assignments Action required: The senior rater will list up to three (with a minimum of two) different successive duty positions (by job title) in which the rated officer is best suited to serve based on the rated officer s demonstrated potential, focusing on the next 3 to 5 years of service. Note. An exception to this rule exists for DA Form s on which the rater indicates UNSATISFACTORY and the senior rater indicates a rating of NOT QUALIFIED. On these OERs only, no successive duty positions are required. Section V DA Form (Strategic Grade Plate (O6) Officer Evaluation Report) Part I, administrative data Part I is for administrative data, including identification of the rated officer, unit data, the period covered, number of rated months, nonrated time codes, and the reason for submission of the DA Form See table 2 24 for a list of codes and reasons for submitting OERs and table 2 25 for the codes and reasons for nonrated periods. Table 2 13 Administrative data for DA Form DA Form , part I: block a Name Action required: Enter the rated officer s full name (last, first, MI, suffix) in capital letters. DA Form , part I: block b SSN Action required: Enter the rated officer s full nine-digit SSN (for example, ). As an alternative to providing an SSN, individuals possessing a DOD issued CAC may provide their unique 10-digit DOD ID (located on the reverse side of the CAC). DA Form , part I: block c Rank Action required: Enter the rated officer s three-letter rank abbreviation, not pay grade (for example, COL for colonel) as of the THRU date of the DA Form DA PAM November

50 Table 2 13 Administrative data for DA Form Continued If the rated officer has been selected for promotion and is serving in a position authorized for the next higher rank, they will be rated in the promotable rank and a P will be placed after his or her current rank (for example, LTCP ). If the rated officer is not assigned to a position authorized for the higher rank, no P will be entered after the rank. If the rated officer has been frocked to the next higher rank and is serving in a position authorized for the rank to which he or she is frocked, enter the frocked rank. If the rated officer has been frocked to a higher rank but is not yet serving in a position authorized for the higher rank, enter the lower rank. Note: For ARNG Officers, promotions/promotable status dates are determined by state adjutant generals; these dates are not based on release dates of promotion selection lists. (See AR para 2-11). Reference: AR DA Form , part I: block d Date of Rank Action required: Enter the date of rank (YYYYMMDD) for the rated officer s rank as of the THRU date of the DA Form If the officer is promotable, but not yet promoted, the date of rank is for the current rank. If the rated officer has been frocked to a higher rank and is serving in an authorized position, enter the effective date of the frocking. If the rated officer has been frocked to a higher rank and is not yet serving in an authorized position requiring the higher rank, enter the date of rank of the lower rank. DA Form , part I: block e Branch Action required: Enter the two-character basic branch abbreviation or VTIP/CFD. For general officers, enter "GO." The two-character branch entry will not be GS. Reference: DA Pam DA Form , part I: block f COMP Status Code Action required: For USAR or ARNG, enter status code as follows: IRR individual ready reserve (or IRR MOB for mobilized IRR Soldier). IMA individual mobilization augmentee (or IMA MOB for mobilized IMA Soldiers). DIMA drilling individual mobilization augmentee (or DIMAMOB for mobilized DIMA Soldiers). TPU troop program unit. ADOS active duty for operational support. AGR active guard reserve. MOB mobilized Soldier. CO ADOS contingency operations-active duty for operational support. ADOS RC active duty for operational support-rc. M DAY man-day ARNG traditional Soldiers. DA Form , part I: block g Unit, Org., Station, ZIP Code or APO, Major Command Action required: Enter the rated officer s unit, organization, station, zip code, or APO, and Major Command in the order listed on the DA Form Note. The electronic form within the EES may not automatically enter deployed unit data; however, it may be changed manually on the DA Form The USAR must include the appropriate major USAR command or USAR general officer command. On DA Form s for AMEDD officers assigned or attached to the APMC who do not complete AT or ECT, use the APMC address with AR MEDCOM as the major command. The address should reflect the rated officer s location as of the THRU date of the DA Form While in a deployed status, indicate the data of the deployed unit. Alternatively, indicate the parent unit s address with duty at (abbreviated w/dy at ) the Soldier s deployed unit location. DA Form , part I: block h Unit Identification Code Action required: Enter the rated officer s UIC. Note. This code can be automatically populated by using the electronic form within the EES if unknown. If it is incorrect, it can be manually corrected. DA Form , part I: block i Reason for Submission Action required: Enter the appropriate code (left block) and reason (right block) that identify why the DA Form is being prepared for submission. Note. On DA Form s for AMEDD officers attached to the APMC who do not complete AT or ECT, use code 19 AHRC Directed. Reference: Table DA PAM November 2015

51 Table 2 13 Administrative data for DA Form Continued DA Form , part I: block j Period Covered Action required: The period covered is the period extending from the day after the THRU date of the last evaluation report to the date of the event causing the DA Form to be written. The rating period is that portion of the period covered during which the rated officer serves in an assigned position under the rater who is writing the DA Form The period covered and the rating period will always end on the same date (the THRU date of the DA Form ). The beginning date of the rating period may not be the same as the beginning date of the period covered (the FROM date). For example, an officer departs on PCS 1 July and is given a Change or Rater evaluation report with a THRU date of 30 June. After 5 days of in-transit travel and 20 days of leave, the officer reports for duty at their new unit on 26 July. Then, on 1 November, the officer changes duty (but the rater remains the same) and is given a Change of Duty DA Form The period covered on this DA Form would be 1 July ( FROM date) to 31 October ( THRU date); however, the rating period would be from 26 July to 31 October. Note. The THRU date on Change of Rater and Change of Duty DA Form s will be the day before the change takes effect. Likewise, for rated officers signing out on transition leave, the THRU date will be the rated officer s final duty day in the assigned duty position before transition leave begins. Use the YYYYMMDD format for FROM and THRU dates. On DA Form s for AMEDD officers attached or assigned to the APMC who do not complete AT or ECT, the THRU date will be based on the rated officer s RYE date for code 19 AHRC Directed DA Form s. DA Form , part I: block k Rated Months Action required: The number of rated months is computed by counting the total number of calendar days in the rating period and dividing it by 30. Note. Do not use the number of days in the entire period covered by the DA Form The rated months will equal the period covered minus all nonrated time. After dividing by 30, if there are 15 or more days left, count them as a whole month (for example, 130 days is 4 months and 10 days and is entered as 4 months; 140 days is 4 months and 20 days and is entered as 5 months). DA Form , part I: block l Nonrated Codes Action required: Enter the appropriate nonrated codes. If there was no qualifying nonrated time during the period covered, leave blank. Entries in part I, block I are not required for ARNG officers not on active duty. Reference: Table 2 25 DA Form , part I: block m Number of Enclosures Action required: Indicate the total number of enclosures. If there are no enclosures, enter 0 or leave blank. DA Form , part I: block n Rated Officer s Address Action required: Enter the rated officer s.gov or.mil address. If the official.mil address exceeds the allowable character space, enter the address prior to symbol, (for example, marry.long thatexceedstextspace@) Part II, authentication This part of the DA Form is for authentication by the rated officer and rating officials after the DA Form has been completed at the end of the rating period. To facilitate the rated officer in signing the OER after authentication by the rating officials, the DA Form can be signed and dated by each individual in the rating chain up to 14 days prior to the THRU date of the DA Form ; however, the DA Form cannot be forwarded to HQDA until the THRU date of the DA Form Note. Rating officials names can be automatically entered by using SSNs and the first two characters of the last name when using the electronic form within the EES. The following rules apply: a. The senior rater s signature and date cannot be before the rater s or intermediate rater s signatures. b. The rated officer s signature and date cannot be before the rater s, the intermediate rater s, or the senior rater s signatures. Table 2 14 Authentication for DA Form DA Form , part II: blocks a (1 through 7) Rater s Information Action required: Enter the rater s information name (last, first, MI, suffix) in capital letters, SSN (for example, ), rank, position, signature, , andvalidation date. As an alternative to providing an SSN, individuals possessing a DOD issued CAC may provide their unique 10-digit DOD identification number (located on the reverse side of the CAC). The rank entry will be current as of the THRU date of the DA Form A P is added to the rank only if the rater is promotable and serving in a position authorized for the next higher rank. Rating officials who have been frocked to a higher rank and are serving in the DA PAM November

52 Table 2 14 Authentication for DA Form Continued authorized position for the frocked rank will enter the frocked rank. Use of an official address as the permanent address will facilitate HQDA contact concerning the DA Form , should the need arise. As a minimum, an address ending in.gov or.mil will be used. If the official.mil address exceeds the allowable character space, enter the address prior to symbol, (for example, marry.long thatexceedstextspace@). Note. The rater s signature and date are required on the completed DA Form For raters of other Services, enter appropriate rank abbreviation. For example, a U.S. Navy captain would be entered as CAPT in the rank block. Civil service raters will enter the pay grade (GM, GG, GS, or UA-#) in the rank block; for members of the senior executive service, SES will be entered in lieu of a rank or pay grade. For members authorized by an exception to policy or who are not in any category above, enter appropriate grade level. For allied forces officers serving as a rater, enter the rater s country or country abbreviation in parentheses after their name (for example, (AU), (Italy), and (GBR)). Allied forces raters of U.S. Army officers will require a international rater identification number issued by HRC, Evaluations branch. Once issued, this identification number will be inserted within the SSN data field. Requests for a international rater identification number will be submitted to HRC, Evaluations branch (see appendix B for contact information and address). The request will include: justification, allied forces officer s complete name, rank, country, duration of report period covered, contact information to include a valid address. See figure 2-10 for a sample request. Additionally, the request may identify a delegate, who will provide assistance to the allied forces rating official on evaluation matters. The delegate will be a CAC enabled U.S. Army officer or DA civilian able to access EES. Once approved, HRC will issue the allied forces rating official an international rater identification number. Note: Allied forces rating officials may not have the ability to sign evaluations digitally with CAC signature. In these instances, reports will require signature by manual methods and submission of reports through authorized alternate methods (see AR 623-3). Other entered data remains the same. If the senior rater is serving both as the rater and senior rater, the senior rater s information and signature will be entered in part II, blocks a and c. Note. On DA Form s for AMEDD officers attached or assigned to the APMC who do not complete AT or ECT, the Commander, APMC will serve as rater and senior rater with no other rating officials and will sign the DA Form in part II, both blocks a and c (as a senior rater who does not meet eligibility requirements to evaluate the rated officer) for code 19 AHRC Directed DA Form s. DA Form , part II: blocks b (1 through 7) Intermediate Rater s Information Action required: Enter the intermediate rater s information - name (last, first, MI, suffix) in capital letters, SSN (optional) (for example, ), rank, position, signature, , and validation date. As an alternative to providing an optional SSN, individuals possessing a DOD issued CAC may provide their unique 10-digit DOD identification number (located on the reverse side of the CAC). The rank entry will be current as of the THRU date of the DA Form A P is added to the rank only if the intermediate rater is promotable and serving in a position authorized for the next higher rank. Rating officials who have been frocked to a higher grade and are serving in the authorized position for the frocked rank will enter the frocked rank. Use of an official address as the permanent address will facilitate HQDA contact concerning the DA Form , should the need arise. As a minimum, an address ending in.gov or.mil will be used. If the official.mil address exceeds the allowable character space, enter the address prior to symbol, (for example, marry.long thatexceedstextspace@). Note. The intermediate rater s signature and date are required on the completed DA Form For intermediate raters of other Services enter appropriate rank abbreviation. For example, a U.S. Navy captain would be entered as CAPT in the rank block. Civil service raters will enter the pay grade (GM, GG, GS, or UA-#) in the rank block; for members of the senior executive service, SES will be entered in lieu of a rank or pay grade. For members authorized by an exception to policy or not in any category above, enter appropriate grade level. For allied forces rating officials, leave the SSN blank. Enter the intermediate rater s country or country abbreviation in parentheses after the name (for example, (AU), (Italy), and (GBR)). Other data remain the same. DA Form , part II: blocks c (1 through 11) Senior Rater s Information Action required: Enter the senior rater s information name (last, first, MI, suffix) in capital letters/ssn (for example, )/rank/ position/signature/validation date/organization/branch/component/telephone number/ address. As an alternative to providing an SSN, individuals possessing a Department of Defense (DOD) issued Common Access Card (CAC) may provide their unique 10-digit DOD identification number (located on the reverse side of the CAC). Use of an official address as the permanent address will facilitate HQDA contact concerning the DA Form , should the need arise. As a minimum, an address ending in.gov or.mil will be used. The rank entry will be current as of the THRU date of the DA Form A P is added to the rank only if the senior rater is promotable and serving in a position authorized for the next higher rank. Rating officials who have been frocked to a higher rank and are serving in the authorized position for the frocked rank will enter the frocked rank. For Branch, enter the two-character basic branch abbreviation or VTIP/CFD. For general officers, enter "GO". The two-character branch entry will not be GS. 42 DA PAM November 2015

53 Table 2 14 Authentication for DA Form Continued For senior raters of other Services, in addition to their rank, enter their branch of Service (for example, U.S. Navy USN, U.S. Air Force USAF, U.S. Marine Corps USMC, U.S. Coast Guard USCG in the branch block in part II, block c. For example, a U.S. Navy captain would be entered as CAPT in the rank block and USN in the branch block. Civil service raters will enter the pay grade (GM/GG/GS/UA- #) in the rank block; for members of the senior executive service, SES will be entered in lieu of a rank or pay grade. For members authorized by an exception to policy or who are not in any category above, enter appropriate grade level. For DA civilians only enter DAC, for civilians of other Services within DOD, enter CIV as the branch. Component entry will be RA for Regular Army, USAR for U.S. Army Reserve, ARNG for Army National Guard entered for Army components. All others will enter NONE. The senior rater will sign the DA Form even if he or she is unable to evaluate the rated officer due to lack of qualification. Note. The senior rater s signature and date are required on the completed DA Form even if he or she is unable to evaluate the rated officer due to lack of qualification. Using the electronic form within the EES, senior raters who lack minimum rating qualification will check the NO box in response to the question Have you been the senior rater for this officer for at least 60 days? to enter the statement I am unable to evaluate the rated officer because I have not been the senior rater for the required number of days in part VI, block c, leaving all other portions of part VI blank. Note. The minimum required time for senior rater eligibility to evaluate the rated officer is 90 days for USAR TPU, DIMA, and drilling IRR officers and ARNG officers. On DA Form s for AMEDD officers attached or assigned to the APMC who do not complete AT or ECT, the Commander, APMC will sign the DA Form in part II, block c as a senior rater who does not meet eligibility requirements to evaluate the rated officer for code 19 AHRC Directed DA Form s. If the senior rater is serving both as the rater and senior rater, the senior rater s information and signature will be entered in part II, blocks a and c. DA Form , part II: blocks d Referred Report Action required: If referral of an DA Form is required, the senior rater will place an X in the appropriate box in part II, block d of the DA Form (before he or she has signed and dated the DA Form ). The DA Form will then be provided to the rated officer for placement of an X in the appropriate box in part II, block d for signature and validation of administrative data. ("YES" if the rated officer will provide comments as an enclosure to the DA Form or "NO" if the rated officer will not provide comments.) DA Form , part II: blocks e Rated Officer s Signature Action required: : The rated officer will sign and date the DA Form after it has been completed and signed by all rating officials in the rating chain. The rated officer s signature acknowledges that the rated officer has seen the completed DA Form , parts I through VI, and verifies the accuracy of the administrative data in part I, the rating officials in part II, and the APFT and height and weight data in part IV, block a. This action increases administrative accuracy of the DA Form since the rated officer is most familiar with and interested in this information. Confirmation of the administrative data also will normally preclude an appeal by the rated officer based on inaccurate administrative data. Any administrative errors noted by the rated officer will be brought to the attention of the rating officials and corrected prior to their signature. Note. On DA Form s for APMC-managed AMEDD officers who do not complete AT/ECT, block e will be left blank; these officers will not sign the completed DA Form prior to submission to HQDA using EES in accordance with AR If the rated officer is physically unavailable to sign the DA Form (and the DA Form cannot be forwarded to him or her to sign), is unable to sign the DA Form digitally or manually, or refuses to sign the DA Form for any reason, the senior rater will either resolve the problem or explain the reason for the lack of a signature. Using the electronic form within the EES, the senior rater will check the appropriate response to the question Is the rated officer available for signature? or the comment Rated Soldier refused to sign. The applicable statement will be entered in part VI, block c ( The rated officer was unavailable for signature and/or The rated officer refused to sign ). Note. If the rated officer s signature is left blank in part II, block e, and the Wizard application, of electronic form within the EES is not used to enter the appropriate statement, the EES may not allow the DA Form to be submitted. DA Form s stating that the officer cannot sign due to CAC issues will not be processed. If the DA Form is adverse or contains derogatory information concerning the rated officer, it must be referred to the rated officer before he or she signs the DA Form Note. Using the electronic form within the EES will allow the senior rater to generate an automated referral memorandum as a built-in enclosure to the DA Form DA Form , part II: blocks f1 through f7 Supplementary Review Action required: A documented supplementary review, will be performed by a Uniformed Army Advisor above the rating chain, when there are no uniformed Army designated rating officials for the rated Officer, for Relief for Cause reports when the senior rater is the individual directing the relief, or if the relief has been directed by an individual other than the rating officials. (see paras 2-29 and 2-30). The first U.S. Army officer above the senior rater in the organization or supervision will be designated as the Uniformed Army Advisor and conduct a supplementary review. This officer will be designated by the commander establishing the rating chain and identified in the published rating scheme at the beginning of the evaluation period. DA PAM November

54 Table 2 14 Authentication for DA Form Continued The senior rater will mark Yes or No in block f1 to identify if the DA Form requires a supplementary review. If the Yes box is marked in part II, block f1, enter the name, rank, and position of the reviewer in blocks f2 through f4. The reviewer may prepare an enclosure to the DA Form If necessary, the reviewer will comment upon the accuracy or clarity of the completed DA Form If the reviewer determines the OER is accurate and comments are not necessary, the reviewer will indicate so by selecting the NO in part II, block f5 and sign in part II, block f6 with no added comments necessary. If the reviewer determines comments are necessary, the reviewer will select YES in part II, block f5 of the DA Form series OER and prepare and attach an enclosure to the OER and sign in part II, block f6. Comments will not include evaluative statements about the rated officer or statements that amplify, paraphrase, or endorse the ratings of the other members of the rating chain. When required, the supplementary reviewer s signature and date will be annotated on the completed DA Form Note. Supplementary reviews are conducted after rating officials and the rated Soldier have signed the completed evaluation. Note. Using the electronic DA Form within the EES will allow the senior rater to generate an automated referral memorandum as a built-in enclosure to the DA Form Reference: AR 623 3, paragraph 2 8 DA Form , part II: block g MSAF Date Action required: Raters will enter the most current completion date for a multi-source assessment and feedback (MSAF) within 36 months preceding the THRU DATE in accordance with AR If the rated Soldier has not completed a MSAF in accordance with AR 350-1, the entry will be left blank and the rater will provide comment in part IV, block c.2 comment on performance. Rating officials are reminded that the MSAF is a self-assessment tool. Note. For CSL LTC and COL level commanders, the most recent completed CDR360 assessment date will be entered in lieu of the MSAF date. Reference: AR Part III, duty description Part III provides for the duty description of the rated officer. The rating officials are responsible for ensuring that the duty description information is factually correct. Note. The duty description on the DA Form A can be automatically populated to the DA Form on the electronic form within the EES. Table 2 15 Duty Description for DA Form DA Form , part III: block a Principal Duty Title Action required: Match principal duty title with unit force structure documents or a principal duty title that describes duties performed; should be the same as the duty title found on the DA Form 4037 (ORB). Note. On DA Form s for all AMEDD officers attached or assigned to the APMC, the principal duty title will be APMC Managed Officer. DA Form , part III: block b Position area of concentration (AOC code/branch) Action required: For commissioned officers, this entry will contain, as a minimum, the first five characters of the position requirements code (such as 42B00); seven characters if an ASI is needed; or nine characters if a language identification code is required; should be the same position code as on the DA Form 4037 (ORB). DA Form , part III: block c Significant Duties and Responsibilities Action required: State the officer s significant duties and responsibilities, written in a succinct narrative (not bullet) format, using the present tense to identify what the rated officer is supposed to do or be responsible for in his or her duty position. Unless changes occurred during the rating period, the duty description on the DA Form should be the same as the one on the DA Form A. The rater will describe in detail the rated officer s duties and responsibilities, the number of personnel supervised, amount of resources under the rated officer s control, and scope of responsibilities. Descriptions must be clear and concise with emphasis on specific functions required of the rated officer. The rater should also note conditions unique to the assignment. For example, RA officers who are assigned to full-time support duties with RC units or USAR officers assigned to RA units often perform unique functions in that duty. In order to ensure that due consideration is given to these factors, the duty description should note these conditions. As a minimum, the duty description will include principal duties and significant additional duties. When an officer is serving under dual supervision, the statement Officer serving under dual supervision will be entered as the first line of the duty description. The duty description will be jointly developed by the supervisors in each chain of command. Reference: DA Pam DA PAM November 2015

55 2 18. Part IV, Performance evaluation-professionalism, competencies and attributes Part IV provides an assessment of a rated officer s professionalism, performance, and adherence to attributes and core leader competencies (including the APFT and the height and weight entries) focusing on what a leader is and what a leader does. Part IV contains the dimensions of the Army s leadership doctrine that define professionalism for the Army officer. Attributes are characteristics that are an inherent part of an individual s total core, physical, and intellectual aspects. Attributes shape how an individual behaves in their environment and are aligned to identity, presence, and intellectual capacity. Core leader competencies emphasize the roles, functions, and activities of what leaders do. Core leader competencies are complemented by attributes that distinguish high performing leaders of character. Core leader competencies apply across all levels of the organization, across leader positions, and throughout careers. Army Values, Empathy, and Warrior Ethos are a critical attributes that define a leaders character and apply across all ranks, positions, branches, and specialties. These attributes are critical to maintain public trust and confidence in the Army and the qualities of leadership and management needed to maintain an effective Officer Corps. Attributes and Core Leader Competencies are on the DA Form series to emphasize and reinforce professionalism. They will be considered in the evaluation of the performance of all officers. Part V, intermediate rater (if applicable) This part of the form is used only if an intermediate rater is included in the rating chain. Part V is for the intermediate rater s assessment of the rated officer s performance and potential. This is the only part of the DA Form that is completed by the intermediate rater. Table 2 16 Performance evaluation professionalism and Army Values for DA Form DA Form , part IV: block a APFT Action required: In the spaces after APFT, the rater will enter PASS or FAIL and the date (YYYYMMDD) of the most recent record APFT administered by the unit within the 12 month period prior to the THRU date of the DA Form ; however, the APFT date does not always have to be within the period covered on the DA Form If the rated officer was unable to take a record APFT (due to a profile or pregnancy), his or her status at that time will be documented appropriately. The APFT for Soldiers without profiles consists of push-ups, situps, and a 2 mile run. For Soldiers with permanent and temporary profiles who have been cleared to take an alternate APFT, enter PASS or FAIL for the alternate APFT as prescribed by health care personnel. The APFT may include an alternate authorized aerobic event (walk, bike, or swim). No comment about the Soldier s profile is required. For Soldiers with permanent profiles whose profiles prohibit them from taking the APFT, the entry will be left blank and the rater will explain the reason why it has been left blank. Soldiers with temporary profiles at the time of the unit s record APFT will enter PROFILE and the date (YYYYMMDD) the profile was awarded. The date of the profile must be within 12 months prior to the THRU date of the DA Form Sample entries are PASS , FAIL , or PROFILE APFT numerical scores will not be entered. The rater will address a FAIL entry for APFT in the narrative space provided in part IV, block a. Comments on FAIL entries may include the reason(s) for failure and/or note any progress toward meeting physical fitness standards (see AR 350 1). A comment on PROFILE entries will be made only if the rated officer s ability to perform his or her assigned duties is affected. The rater will explain the absence of an APFT entry in part IV, block a. If the APFT has not been taken within 12 months of the THRU date of the DA Form , the APFT data entry will be left blank. In accordance with AR , an APFT is not required for pregnant officers. For pregnant officers who have not taken the APFT within the last 12 months due to pregnancy, convalescent leave, and temporary profile, the rater will enter the following statement in part IV, block a: Exempt from APFT requirement in accordance with AR Note. When using the electronic form within the EES, the APFT and height and weight statement will be combined. In accordance with AR 350 1, officers 55 years of age and older have the option of taking the three-event APFT or an alternate APFT, but they will not be considered as being on profile unless a current profile exists. Additionally, officers 60 years of age and older have the option of not taking the APFT; however, they must maintain a personal physical fitness program approved by a physician and remain within compliance of height and weight standards of AR If no APFT is taken, leave the APFT entry blank and make the following comment in part IV, block a addressing the blank APFT entry: Officer exempt from APFT requirement in accordance with AR Deployed units unable to administer the APFT due to mission or conditions will annotate DA Form s in the provided comment field with the following statement: Officer was unable to take the APFT during this period due to deployment for combat operations/ contingency operations. In accordance with AR 350 1, upon return from deployment officers will be administered a record APFT no earlier than 3 months for RA and 6 months for USAR and ARNG officers. Note. Officers are not exempted from complying with height and weight requirements of AR Reference: AR , AR 350 1, and AR DA Form , part IV: block a (continued) Height and Weight Action required: In the spaces after HEIGHT and WEIGHT the rater will enter the rated officer s height and weight, respectively, as of the unit s last record weigh-in. If there is no unit weigh-in during the period covered by the DA Form , the rater will enter the officer s height and weight as of the THRU date of the DA Form An entry of YES or NO will also be placed in the space next to the weight to indicate compliance or noncompliance with AR Sample entries are HEIGHT: 72, WEIGHT: 180 YES ; HEIGHT: 71, WEIGHT: 225 NO ; or HEIGHT: 73, WEIGHT: 215 YES. For officers 60 years of age and older who must remain in compliance with height and weight standards, the height and weight entry will be completed. Soldiers 60 years of age or older are only exempted from the requirement to take the APFT. DA PAM November

56 Table 2 16 Performance evaluation professionalism and Army Values for DA Form Continued For an officer who exceeds the screening table weight, a YES entry may only be entered after a body composition measurement has been completed and found to be within body composition standards, as determined by tape measurement and the use of DA Form 5500 or DA Form The rater will comment on a NO entry, indicating noncompliance with the standards of AR in part IV, block a. These comments should indicate the reason for noncompliance. Medical conditions may be cited for noncompliance; however, the NO entry is still required because medical waivers to weight control standards are not permitted for DA Form purposes. The progress or lack of progress in a weight control program will be indicated. For pregnant officers, the entire entry is left blank. The rater will enter the following statement in part IV, block a: Exempt from weight control standards of AR Note. When using the electronic form within the EES, the APFT and height and weight statement will be combined. Rating officials will not use the word pregnant nor refer to an officer s pregnancy in any manner when completing the DA Form For rated officers with major limb loss, the entire entry is left blank. The rater will enter the following statement in part IV, block a: Exempt from weight control standards of AR Major limb loss is defined as an amputation above the ankle or above the wrist, which includes full hand and/or full foot loss. It does not include partial hand or foot, or fingers or toes. Rating officials will not refer to the major limb loss in any manner when completing the DA Form For rated officers having an approved DCS, G-1 waiver, the entire entry will be left blank. The rater will enter the following statement in part IV, block a Rated officer has a DCS, G 1 waiver of compliance with AR In such cases, a copy of the DCS, G 1 approval memo will be submitted as an enclosure to the DA Form Compliance with AR 600 9, the height and weight standards of AR apply at all times, even when the officer is deployed for combat or contingency operations. This entry will not be left blank other than the exceptions indicated above. Reference: AR DA Form , part IV: block b Qualities for Strategic Assignments Action required: The rater may provide narrative comment indicating and identifying skills and qualities the officer possesses for up to three strategic assignments. These assignments may also be listed as duty positions (by job title). Reference: DA Pam DA Form , part IV: blocks c Attributes and Competencies Action required: The rater must quantitatively and qualitatively paint a word picture using short concise narrative format capturing the rated officer s performance as it relates to the Leadership Requirements Model, which conveys expectations for Army leaders. Comments are mandatory and should compare the performance of the rated officer with his or her contemporaries (AR 623 3) during the evaluation period. The focus is on the results achieved and the manner by which they were achieved. DA Form , part IV: block c.1 Character Encompasses elements internal and central to a leader s core consisting of Army Values, empathy, Warrior Ethos/Service Ethos, and discipline. Character is comprised of a person s moral and ethical qualities, helps determine what is right and gives a leader motivation to do what is appropriate, regardless of the circumstances or consequences. It determines who people are, how they act, helps determine right from wrong, and choose what is right. Action required: Rating officials will comment on how well the rated officer promoted a climate of dignity and respect and adhered to the requirements of the SHARP Program. This assessment should identify, as appropriate, any significant actions or contributions the rated officer made toward 1. Promoting the personal and professional development of subordinates. 2. Ensuring the fair, respectful treatment of unit personnel. 3. Establishing a workplace and overall command climate that fosters dignity and respect for all members of the unit. 4. This assessment should also identify any failures by the rated officer to foster a climate of dignity and respect and adhere to the SHARP Program. Raters will comment on any substantiated finding, in an Army or DOD investigation or inquiry, that the rated officer 1. Committed an act of sexual harassment or sexual assault. 2. Failed to report a sexual harassment or sexual assault. 3. Failed to respond to a complaint or report of sexual harassment or sexual assault. 4. Retaliated against a person making a complaint or report of sexual harassment or sexual assault. Note: additional comments may be explained and entered in part IV, blocks c.2 (if required). Army Values: Consist of the principles, standards, and qualities considered essential for successful Army leaders. They are fundamental to helping Soldiers and DA civilians make the right decision in any situation. Army Values are an important leader responsibility and an expected standard. Comments, when provided, will refer to a specific value and be included in the narrative (for example, A solid, trustworthy officer whose integrity is beyond reproach. ). A list of Army Values and their definitions follow (a more detailed explanation is available in ADRP 6-22). 46 DA PAM November 2015

57 Table 2 16 Performance evaluation professionalism and Army Values for DA Form Continued 1. Loyalty: Bears true faith and allegiance to the U.S. Constitution, the Army, the unit, and other Soldiers. 2. Duty: Fulfills obligations (professional, legal, and moral). 3. Respect: Treats people as they should be treated. 4. Selfless service: Puts the welfare of the Nation, the Army, and subordinates priorities before self. 5. Honor: Adheres to the Army s publicly declared code of values. 6. Integrity: Does what is right, legally and morally. 7. Personal courage: Faces fear, danger, or adversity (physical and moral). Empathy: The ability to see something from another person s point of view, to identify with, and enter into another person s feelings and emotions. Empathy allows the leader to anticipate what others are experiencing and to try to envision how decisions or actions affect them. Army leaders display empathy when they genuinely relate to another person s situation, motives, and feelings. Empathy does not necessarily mean sympathy for another, but identification that leads to a deeper understanding. Warrior Ethos and Service Ethos: The professional attitudes and beliefs that characterize the American Soldier. They reflect a Soldier s selfless commitment to the Nation, mission, unit, and fellow Soldiers. These ethos are developed and sustained through discipline, commitment to the Army Values, and pride in the Army s heritage. The key to the Warrior and Service Ethos are not only physical, tactical, and technical training but also a mindset developed through purposeful mental preparation. Discipline: At the individual level this is primarily self-discipline, the ability to control one s own behavior. Discipline expresses what the Army Values require willingly doing what is right. Discipline involves attending to the details of organization and administration, which are less urgent than an organization s key tasks, but necessary for efficiency and long-term effectiveness. Examples include an effective Command Supply Discipline Program, Organizational Inspection Programs, and training management. DA Form , part IV: block c.2 Performance comments, Potential comments, and DA Form A use validation. Action required: : The rater must quantitatively and qualitatively paint a word picture using short concise narrative format capturing the rated officer s performance and potential as it relates to the Leadership Requirements Model, which conveys expectations for Army leaders regarding strategic grade attributes and competencies in the rated officer s current duty position. The rater will also check the appropriate box concerning receipt of the DA Form A; comments are mandatory in part IV, block c2. comments on performance for a "NO" entry. -Performance and potential comments are mandatory. Exception requirements exist below for when a rating official is serving as both rater and senior rater. Performance comments should address key items mentioned in the duty description in part III and, as appropriate, the duty description, objectives, and contributions portions of the DA Form A (or equivalent) as they relate to the Leadership Requirements Model. Potential comments should compare the potential of the rated officer with his or her contemporaries during the evaluation period (see AR 623-3). Potential comments should primarily focus on the rated officer s potential for promotion, command, schooling (military and civilian), strategic assignments, successive duty assignments and level of assignments, and/or retention, when applicable. In cases when the rating official is serving as both rater and senior rater, he or she will complete the rater s portion of the DA Form part IV, blocks a through c1. Comments to cite the authority for the rating official to act as both rater and senior rater will be entered within part IV, block c2 (Appropriate comments for part IV, block c2 include Serving as rater and senior rater in accordance with AR 623 3, paragraphs 2 19 (or para 2 20, as appropriate) or Serving as rater and senior rater in accordance with the CG, HRC exception to policy ). As an option, the rating official serving as rater and senior rater may provide additional comments on performance and potential. The senior rater will sign the DA Form in both the senior rater s and the rater s signature blocks. The rater will comment on how well the officer promoted/supported a healthy workplace environment conducive to the growth and development of personnel when completing the OER. Note: Rating officials may provide additional comments (if needed) evaluating the rated officer on how well the rated officer promoted a climate of dignity and respect and adhered to the requirements of the SHARP Program. Presence Is the impression a leader makes on others contributing to their success in leading them. This impression is the sum of a leader s outward appearance, demeanor, actions, and words. Presence incorporates a leader s effectiveness when demonstrating military and profession bearing, fitness, confidence, and resilience. Military and professional bearing: Projecting a commanding presence, a professional image of authority. Fitness: Having sound health, strength, and endurance, which sustain emotional health and conceptual abilities under prolonged stress. Confidence: Projecting self-confidence and certainty in the unit s ability to succeed in whatever it does; able to demonstrate composure and outward calm through steady control over emotion. Resilience: The psychological and physical capacity to bounce back from life s stressors repeatedly to thrive in an era of high operational tempo. Intellect Draws on the mental tendencies and resources that shape conceptual abilities applied to one s duties and responsibilities. Conceptual abilities enable effective problem solving and sound judgment before implementing concepts and plans. They help one think creatively and reason analytically, critically, ethically, and with cultural sensitivity to consider unintended, as well as intended consequences, helping leaders anticipate the second- and third-order effects of their actions. The conceptual components affecting an Army leader s intellect include mental agility, sound judgment, innovation, interpersonal tact, and expertise. DA PAM November

58 Table 2 16 Performance evaluation professionalism and Army Values for DA Form Continued Mental agility: Is a flexibility of mind, an ability to anticipate or adapt to uncertain or changing situations. Agility enables thinking through second- and third-order effects when current decisions or actions are not producing the desired results. Sound judgment: Is the capacity to assess situations shrewdly and to draw rational conclusions. Consistent good judgment enables leaders to form sound opinions and make reliable estimates and sensible decisions. Good judgment includes the ability to assess subordinates, peers, and the enemy for strengths and weaknesses to create appropriate solutions and action. Innovation: Is the ability to introduce something new when needed or as opportunities exist. Being innovative includes creativity in producing original and worthwhile ideas. Innovative leaders tend to be inquisitive and good problem solvers. Innovative leaders prevent complacency by finding new ways to challenge subordinates with forward-looking approaches and ideas by relying on intuition, experience, knowledge, and input from subordinates. Interpersonal tact: Interacting with others depends on knowing what others perceive. It relies on accepting the character, reactions, and motives of oneself and others. Interpersonal tact combines these skills, along with recognizing diversity and displaying self-control, balance, and stability in situations. Expertise: Is the special knowledge and skill developed from experience, training, and education. Domain knowledge is what leaders know about application areas used in their duties and positions. Leaders create and use knowledge in at least four domains. Tactical knowledge relates to accomplishing a designated objective through military means. Technical knowledge consists of the specialized information associated with a particular function or system. Joint knowledge is an understanding of Joint organizations, their procedures, and roles in national defense. Cultural and geopolitical knowledge is awareness of cultural, geographic, and political differences and sensitivities. Leads Encompasses five competencies: leads others, extends influence beyond the chain of command, builds trust, leads by example, and communicates. Leads others: Measures the ability to influence Soldiers and DA civilians in the leader s organization. Leaders apply character, presence, and intellect to the core leader competencies while guiding others toward a common goal and mission accomplishment. Direct leaders influence others person-to-person, such as a team leader who instructs, encourages hard work, and recognizes achievement. Organizational and strategic leaders guide their organizations using indirect means of influence. Extends influence beyond the chain of command: Involves influencing others when the leader does not have designated authority or when the leader s authority is not recognized by others. Influence refers to how people create and relay their messages, behaviors, and attitudes to affect the intentions, beliefs, behaviors, and attitudes of another person or group of people. Influence depends upon relationships where leaders build positive rapport and a relationship of mutual trust, making followers more willing to support requests. Examples include showing personal interest in a follower s well-being, offering praise, and understanding a follower s perspective. Builds trust: Trust encompasses reliance upon others, confidence in their abilities, and consistency in behavior. Trust builds over time through mutual respect, shared understanding, and common experiences. Communication contributes to trust by keeping others informed, establishing expectations, and developing commitments. Sustaining trust depends on meeting those expectations and commitments. Trust forms and fosters when leaders create a positive command climate by identifying areas of common interest and goals. Teams develop trust through cooperation, identification with other members, and contribution to the team effort. Leads by example: Living by the Army Values and the Warrior Ethos best displays character and leading by example. It means putting the organization and subordinates above personal self-interest, career, and comfort. For the Army leader, it requires putting the lives of others above a personal desire for self-preservation. Communicates: Ensures there is more than the simple transmission of information. It achieves a new understanding and creates new or better awareness. Communicating critical information clearly is an important skill to reach shared understanding of issues and solutions. It conveys thoughts, presents recommendations, bridges cultural sensitivities, and reaches consensus. Actions can speak louder than words and excellent leaders use this to serve as a role model to set the standard. Leaders communicate to convey clear understanding of what needs to be done and why. Develops Developing people and the organization with a long-term perspective requires leaders who: Create a positive environment that fosters esprit de corps and teamwork, promotes cohesion, and encourages initiative and acceptance of responsibility. A leader maintains a healthy balance between caring for people and their Families while focusing on the mission. Seek self-improvement. To master the profession at every level, a leader must make a full commitment to lifelong learning. Selfimprovement requires self-awareness and leads to new skills necessary to adapt to changes in the leadership environment. Invest adequate time and effort to develop individual subordinates and build effective teams. Success demands a fine balance of teaching, counseling, coaching, and mentoring. Act as stewards of the profession, making choices and taking actions that ensure that leaders in the future sustain an Army capable of performing its core functions. Achieves Focuses on accomplishing the mission. Mission accomplishment co-exists with an extended perspective towards maintaining and building the organization s capabilities. Achieving begins in the short-term by setting objectives. In the long-term, achieving requires getting results in pursuit of those objectives. Getting results focuses on structuring what to do to produce consistent results. Getting results embraces all actions to get the job done on time and to standard. Results are measured in how well the leader provided direction, guidance, and clear priorities, guiding teams in what needs to be done and how. This combined with monitoring performance to identify strengths and correct weaknesses in organizations, groups, and individuals allows for accomplishing missions consistently and ethically. 48 DA PAM November 2015

59 2 19. Part V, intermediate rater (if applicable) This part of the form is used only if an intermediate rater is included in the rating chain. Part V is for the intermediate rater s assessment of the rated officer s performance and potential. This is the only part of the DA Form that is completed by the intermediate rater. Table 2 17 Intermediate rater for DA Form DA Form , part V: Intermediate Rater (Only be included for specialty branches (Chaplain Corps, JAGC, and AMEDD), when there is a level of technical supervision between the rater and senior rater, in dual supervisory situations, and when the rater s immediate supervisor would be the logical senior rater, but does not meet senior rater eligibility requirements as outlined in AR 623 3, table 2 1.) Action required: Narrative comments by the intermediate rater are mandatory. Comments should succinctly address the rated officer s performance and potential. Comments may address the rated officer s demonstrated professionalism and/or ability to maintain required standards for credentialing or certification, foreign language skills, or high-level security clearances. Simply stating concurrence with the rater s evaluation does not fulfill the intent of this paragraph. If the intermediate rater has not been in the position the minimum number of days necessary to evaluate the rated officer, he or she will enter the statement I am unable to evaluate the rated officer because I have not been the intermediate rater for the required number of days. If the intermediate rater performs the functions of the rater, as authorized in AR 623 3, he or she will complete the rater s parts of the DA Form In this case, part V will only cite the authority and reasons for assuming the rater s responsibilities Part VI, senior rater a. Part VI is the senior rater s assessment of the rated officer s potential. Part VI is intended to capitalize on the senior rater s additional experience, broad organizational perspective, and tendency to focus on the organizational requirements and actual performance results. Information on the rated officer s DA Form A is intended to assist the senior rater and supplement more traditional means of evaluation, such as personal observation, reports and records, and other rating officials. b. To ensure that the senior rater is a senior official qualified to evaluate the rated officer, he or she must meet the minimum requirements that are set forth in AR c. In evaluating the whole officer, the senior rater makes an assessment of the officer s potential for promotion to the next higher grade when compared with other officers. In doing so, a senior rater must carefully manage the percentage of his or her MULTI-STAR POTENTIAL and PROMOTE TO BG ratings and must, therefore, be aware of when an officer will be in a zone of consideration for promotion, command, or school selection in order to render MULTI-STAR POTENTIAL OR PROMOTE TO BG ratings accordingly. Note. A senior rater s subsequent statement that he or she rendered an inaccurate RETAIN AS COL or lower evaluation of a rated officer s potential in order to preserve MULTI-STAR POTENTIAL or PROMOTE TO BG ratings for other officers (for example, those in a zone for consideration for promotion, command, or school selection) will not be a basis for an appeal. d. Senior raters who meet minimum qualification criteria established in AR will complete part VI, block a. An officer whose rank on an DA Form is a P (a promotable officer serving in an authorized position of the next higher rank) receiving a rating in part VI, block a will be profiled against the senior rater s profile for the next higher rank. For example, a LTC(P) serving in an authorized COL position will be profiled against the senior rater s COL profile population. If the LTC(P) is not serving in an authorized COL position, he or she will be assessed on the DA Form and profiled against the senior rater s LTC profile population. Table 2 18 Senior rater for DA Form DA Form , part VI: block a Potential Box Check Action required: The senior rater makes an assessment of the rated officer s overall potential when compared with all other officers of the same rank the senior rater has previously rated or currently has in his or her population. Note. Promotable officers with a P after their current rank, serving in an authorized position of the next higher rank, are considered as officers of the next higher rank in making comparative assessments with contemporaries. On Senior Rater Profile reports, they will be profiled against the next higher rank. Note: A senior rater credit of five (5) RETAIN AS COLONEL will be awarded to the senior raters profile allowing use of the MULTISTAR POTENTIAL box immediately. This provides flexibility to senior raters and eliminates some of the issues associated with immature profiles. DA PAM November

60 Table 2 18 Senior rater for DA Form Continued This potential assessment is evaluated in terms of the majority of officers in the population. If the potential assessment is consistent with the majority of officers in that grade the senior rater will place an X in the RETAIN AS COLONEL box. If the rated officer s potential exceeds that of the majority of officers in the senior rater s population, the senior rater will place an X in the PROMOTE TO BG OR MULTISTAR POTENTIAL (as applicable). The senior rater will use these upper two boxes when identifying the upper third of officers for each rank, with further stratification by use of the MULTISTAR POTENTIAL box (as applicable). If the rated officer s potential is below the majority of officers in the senior rater s population for that grade and the senior rater does not believe the rated officer should be retained on active duty, the senior rater will place an X in the UNSATISFACTORY box. Note: In order to maintain a credible profile, senior raters must maintain a cumulative percentage of the upper two boxes combined ( PROMOTE TO BG and MULTISTAR POTENTIAL ) less than 50 percent of the ratings for a given rank and/or the MULTISTAR POTENTIAL box not to exceed 24 percent of the ratings for a given rank. A report with a MULTISTAR POTENTIAL rating that causes a senior rater s profile to exceed 24 percent of ratings for a given rank will be processed as a PROMOTE TO BG only if the cumulative percentage of the upper two boxes combined ( PROMOTE TO BG and MULTISTAR POTENTIAL ) is less than 50 percent of ratings for a given rank. If the combined cumulative percentage of the upper two boxes is 50 percent or more, the report will then be processed with a RETAIN AS COLONEL HQDA electronically generated label. A report with a PROMOTE TO BG rating that causes a senior rater s profile cumulative percentage of the upper two boxes combined of 50 percent or more of the ratings for a given rank will be processed with a RETAIN AS COLONEL HQDA electronically generated label. To ensure maximum rating flexibility when rating populations change or to preclude a MULTISTAR POTENTIAL top box check from inadvertently profiling as a RETAIN AS COLONEL rating, senior raters need to maintain a cushion in the number of MULTISTAR POTENTIAL and PROMOTE TO BG ratings given rather than impending to the line at less than 24 percent of MULTISTAR POTENTIAL and 50 percent combined MULTISTAR POTENTIAL and PROMOTE TO BG. This is best accomplished by limiting the combined MULTISTAR POTENTIAL and PROMOTE TO BG top boxes to no more than one-third of all ratings given for officers of a given rank. All other DA Form s will receive an HQDA electronically generated label that reflects the senior rater s profile at the time the DA Form is processed. Note: Part VI: block a will not be completed on promotable COLs who are serving in an authorized position of the next higher rank (an example: a COLP serving in an authorized BG position). An HQDA electronically generated label, which states No Box Check will be placed over the boxes in part VI block a. DA Form , part VI: block b Number of Officers Senior Rated Action required: The senior rater will enter the total number of Army officers of the same rank as the rated officer he or she currently senior rates. This information, in conjunction with additional information contained on the HQDA electronically generated label, will help HQDA selection boards identify senior raters with small rating populations and weigh the report accordingly. DA Form , part VI: block c Senior Rater Narrative Action required: Narrative comments by the senior rater on rated officer s potential are mandatory. Simply stating concurrence with the rater s or intermediate rater s evaluation does not fulfill the intent of this paragraph. When the senior rater has not been in the position the minimum number of days necessary to evaluate the rated officer, he or she will enter the following statement in part VI, block c: I am unable to evaluate the rated officer because I have not been the senior rater for the required number of days. In these cases, all other entries in part VI, blocks a, b, and d will be left blank. Note. Senior raters will use the electronic form within the Evaluation Entry System to automatically enter the appropriate statement in the DA Form , part VI, block c, if he or she is unable to evaluate the rated officer. On DA Form s for AMEDD officers attached or assigned to the APMC who do not complete AT or ECT, the Commander, APMC will enter the statement that he or she is unable to evaluate the rated officer, using the electronic form within the Evaluation Entry System. All other entries in part VI will be left blank. The senior rater enters narrative comments in this block. Bullet comments are prohibited. Potential comments should primarily focus on the rated officer s potential for promotion, command, schooling (military and civilian), broadening assignments, successive duty assignments, and level of assignments, and/or retention, when applicable. Anything unusual about the DA Form will also be noted here (for example, APFT and height and weight data or explanatory comments, if not included; lack of rated officer s signature; signatures are out of sequence on the DA Form ; changes in an evaluation resulting from rated officer comments; and that multiple referral attempts have been made to the rated officer). Senior raters will comment on any substantiated finding, in an Army or Department of Defense investigation or inquiry, that a rated officer: (1) committed an act of sexual harassment or sexual assault; (2) failed to report a sexual harassment or assault; (3) failed to respond to a complaint or report of sexual harassment or sexual assault; (4) retaliated against a person making a complaint or report of sexual harassment or sexual assault. Note. If the rated officer is physically unavailable to sign (and cannot have it forwarded to him or her to sign), unable to sign, or refuses to sign the DA Form , for any reason, the senior rater will either resolve the problem or use the electronic form within the Evaluation Entry System to automatically enter the appropriate statement explaining why the rated officer s signature is left blank in part II, block e. Otherwise, the Evaluation Entry System may not allow the DA Form to be submitted. An DA Form stating that the officer cannot sign due to CAC issues is unacceptable and such DA Form s will not be processed. The DA Form will not be delayed because it lacks the rated officer s signature. If the senior rater s evaluation is based on infrequent observation of the rated officer, this fact should be noted. Senior raters may also comment on the fact the rated officer is in a rating population that includes three officers or fewer. The senior rater may not comment on, or 50 DA PAM November 2015

61 Table 2 18 Senior rater for DA Form Continued make reference to, actual placement of the box check in part VI, block a, the boxes, or how the rated officer would be profiled. In cases when the senior rater is also serving as the rater, he or she will complete parts IV, block a thru c1 in the rater s portion of the DA Form Part IV, block c2 Comments on Performance will be used to cite the authority for the rating official to act as both rater and senior rater. (Appropriate comments for part IV, block d comments section include Serving as rater and senior rater in accordance with AR 623 3, paragraphs 2 19 (or para 2 20, as appropriate) or Serving as rater and senior rater in accordance with the CG, HRC, exception to policy. when applicable.) As an option, the senior rater may add additional comments addressing the performance and potential of the rated officer within part IV, block c2. The senior rater will sign the DA Form in both the senior rater s and the rater s signature blocks. DA Form , part VI: block d Three Future (Successive) Assignments Action required: The senior rater will list up to three (with a minimum of two) different successive duty positions (by job title) in which the rated officer is best suited to serve based on the rated officer s demonstrated potential, focusing on the next 3 to 5 years of service. Note. An exception to this rule exists for DA Form s on which the rater indicates unsatisfactory performance and potential comments that require the evaluation to be referred and the senior rater indicates a rating of UNSATISFACTORY. On these OERs only, no successive duty positions are required. Section VI DA Form (Strategic Grade Plate General Officer Evaluation Report) Part I, administrative data Part I is for administrative data, including identification of the rated officer, unit data, the period covered, number of rated months, nonrated time codes, and the reason for submission of the DA Form See table 2 24 for a list of codes and reasons for submitting OERs and table 2 25 for the codes and reasons for nonrated periods. Table 2 19 Administrative data for DA Form DA Form , part I: block a Name Action required: Enter the rated officer s full name (last, first, MI, suffix) in capital letters. DA Form , part I: block b SSN Action required: Enter the rated officer s full nine-digit SSN (for example, ). As an alternative to providing an SSN, individuals possessing a Department of Defense (DOD) issued Common Access Card (CAC) may provide their unique 10-digit DOD identification number (located on the reverse side of the CAC). DA Form , part I: block c Rank Action required: Enter the rated officer s letter rank abbreviation, not pay grade (for example, BG for brigadier general) as of the THRU date of the DA Form If the rated officer has been selected for promotion and is serving in a position authorized for the next higher rank, he or she will be rated in the promotable rank and a P will be placed after his or her current rank (for example, COLP ). If the rated officer is not assigned to a position authorized for the higher rank, no P will be entered after the rank. If the rated officer has been frocked to the next higher rank and is serving in a position authorized for the rank to which he or she is frocked, enter the frocked rank. If the rated officer has been frocked to a higher rank but is not yet serving in a position authorized for the higher rank, enter the lower rank. Note: For ARNG Officers, promotions/promotable status dates are determined by state adjutant generals; these dates are not based on release dates of promotion selection lists (see AR 623-3, para 2-11). Reference: AR DA Form , part I: block d Date of Rank Action required: Enter the date of rank (YYYYMMDD) for the rated officer s rank as of the THRU date of the DA Form If the officer is promotable, but not yet promoted, the date of rank is for the current rank. If the rated officer has been frocked to a higher rank and is serving in an authorized position, enter the effective date of the frocking. If the rated officer has been frocked to a higher rank and is not yet serving in an authorized position requiring the higher rank, enter the date of rank of the lower rank. DA PAM November

62 Table 2 19 Administrative data for DA Form Continued DA Form , part I: block e Branch Action required: Enter the two-character basic branch abbreviation or Voluntary Transfer Incentive Program (VTIP)/Career Field Designation (CFD). For general officers, enter "GO." The two-character branch entry will not be GS. Reference: DA Pam DA Form , part I: block f COMP Status Code Action required: For USAR or ARNG, enter status code as follows: IRR individual ready reserve (or IRR MOB for mobilized IRR Soldier). IMA individual mobilization augmentee (or IMA MOB for mobilized IMA Soldiers). DIMA drilling individual mobilization augmentee (or DIMAMOB for mobilized DIMA Soldiers). TPU troop program unit. ADOS active duty for operational support. AGR active guard reserve. MOB mobilized Soldier. CO ADOS contingency operations-active duty for operational support. ADOS RC active duty for operational support-reserve Component. M DAY man-day ARNG traditional Soldiers. DA Form , part I: block g Unit, Org., Station, ZIP Code or APO, Major Command Action required: Enter the rated officer s unit, organization, station, zip code, or APO, and Major Command in the order listed on the DA Form Note. The electronic form within the EES may not automatically enter deployed unit data; however, it may be changed manually on the DA Form The USAR must include the appropriate major USAR command or USAR general officer command. On DA Form s for AMEDD officers assigned or attached to the APMC who do not complete AT or ECT, use the APMC address with AR MEDCOM as the major command. The address should reflect the rated officer s location as of the THRU date of the DA Form While in a deployed status, indicate the data of the deployed unit. Alternatively, indicate the parent unit s address with duty at (abbreviated w/dy at ) the Soldier s deployed unit location. DA Form , part I: block h Unit Identification Code Action required: Enter the rated officer s UIC. Note. This code can be automatically populated by using the electronic form within the Evaluation Entry System, if unknown. If it is incorrect, it can be manually corrected. DA Form , part I: block i Reason for Submission Action required: Enter the appropriate DA Form code (left block) and reason (right block) that identify why the DA Form is being prepared for submission. Note. On DA Form s for AMEDD officers attached to the APMC who do not complete AT or ECT, use code 19 AHRC Directed. Reference: Table 2 24 DA Form , part I: block j Period Covered Action required: The period covered is the period extending from the day after the THRU date of the last evaluation report to the date of the event causing the DA Form to be written. The rating period is that portion of the period covered during which the rated officer serves in an assigned position under the rater who is writing the DA Form The period covered and the rating period will always end on the same date (the THRU date of the DA Form ). The beginning date of the rating period may not be the same as the beginning date of the period covered (the FROM date). For example, an officer departs on PCS on 1 July and is given a Change or Rater evaluation report with a THRU date of 30 June. After 5 days of in-transit travel and 20 days of leave, the officer reports for duty at his or her new unit on 26 July. Then, on 1 November, the officer changes duty (but the rater remains the same) and is given a Change of Duty DA Form The period covered on this DA Form would be 1 July ( FROM date) to 31 October ( THRU date); however, the rating period would be from 26 July to 31 October. Note. The THRU date on Change of Rater and Change of Duty DA Form s will be the day before the change takes effect. Likewise, for rated officers signing out on transition leave, the THRU date will be the rated officer s final duty day in the assigned duty position before transition leave begins. Use the YYYYMMDD format for FROM and THRU dates. On DA Form s for AMEDD officers attached or assigned to the APMC who do not complete AT or ECT, the THRU date will be based on the rated officer s RYE date for code 19 AHRC Directed DA Form s. DA Form , part I: block k Rated Months Action required: The number of rated months is computed by counting the total number of calendar days in the rating period and dividing it by DA PAM November 2015

63 Table 2 19 Administrative data for DA Form Continued Note. Do not use the number of days in the entire period covered by the DA Form The rated months will equal the period covered minus all nonrated time. After dividing by 30, if there are 15 or more days left, count them as a whole month (for example, 130 days is 4 months and 10 days and is entered as 4 months; 140 days is 4 months and 20 days and is entered as 5 months). DA Form , part I: block l Nonrated Codes Action required: Enter the appropriate nonrated codes. If there was no qualifying nonrated time during the period covered, leave blank. Entries in part I, block I are not required for ARNG officers not on active duty. Reference: Table 2 25 DA Form , part I: block m Number of Enclosures Action required: Indicate the total number of enclosures. If there are no enclosures, enter 0 or leave blank. DA Form , part I: block n Rated Officer s Address Action required: Enter the rated officer s.gov or.mil address. If the official.mil address exceeds the allowable character space, enter the address prior to symbol, (for example, marry.long thatexceedstextspace@) Part II, authentication This part of the DA Form is for authentication by the rated officer and rating officials after the DA Form has been completed at the end of the rating period. To facilitate the rated officer in signing the OER after authentication by the rating officials, the DA Form can be signed and dated by each individual in the rating chain up to 14 days prior to the THRU date of the DA Form ; however, the DA Form cannot be forwarded to HQDA until the THRU date of the DA Form Note: Rating officials names can be automatically entered by using SSNs and the first two characters of the last name when using the electronic form within the EES. The following rules apply: a. The senior rater s signature and date cannot be before the rater s or intermediate rater s signatures. b. The rated officer s signature and date cannot be before the rater s, the intermediate rater s, or the senior rater s signatures. Table 2 20 Authentication for DA Form DA Form , part II: blocks a (1 through 7) Rater s Information Action required: Enter the rater s information name (last, first, MI, suffix) in capital letters, SSN (for example, ), rank, position, signature, , and validation date. As an alternative to providing an SSN, individuals possessing a DOD issued CAC may provide their unique 10-digit DOD ID (located on the reverse side of the CAC). The rank entry will be current as of the THRU date of the DA Form A P is added to the rank only if the rater is promotable and serving in a position authorized for the next higher rank. Rating officials who have been frocked to a higher rank and are serving in the authorized position for the frocked rank will enter the frocked rank. Use of an official address as the permanent address will facilitate HQDA contact concerning the DA Form , should the need arise. As a minimum, an address ending in.gov or.mil will be used. If the official.mil address exceeds the allowable character space, enter the address prior to symbol, (for example, marry.long thatexceedstextspace@). Note. The rater s signature and date are required on the completed DA Form For raters of other Services, enter appropriate rank abbreviation. For example, a U.S. Navy captain would be entered as CAPT in the rank block. Civil service raters will enter the pay grade (GM/GG/GS/UA-#) in the rank block; for members of the senior executive service, SES will be entered in lieu of a rank or pay grade. For members authorized by an exception to policy or who are not in any category above, enter appropriate grade level. For allied forces officers serving as a rater, enter the rater s country or country abbreviation in parentheses after his or her name (for example, (AU), (Italy), and (GBR)). Allied forces raters of U.S. Army officers will require a international rater identification number issued by HRC, Evaluations branch. Once issued, this identification number will be inserted within the SSN data field. Requests for a international rater identification number will be submitted to HRC, Evaluations branch (see app B for contact information and address). The request will include: justification, allied forces officer s complete name, rank, country, duration of report period covered, contact information to include a valid address. See figure 2-10 for a sample request. Additionally, the request may identify a delegate, who will provide assistance to the allied forces rating official on evaluation matters. The delegate will be a CAC enabled U.S. Army officer or DA civilian able to access EES. Once approved, HRC will issue the allied forces rating official an international rater identification number. Note: Allied forces rating officials may not have the ability to sign evaluations digitally with CAC signature. In these instances, reports will require signature by manual methods and submission of reports through authorized alternate methods (see AR 623-3). Other entered data remains the same. DA PAM November

64 Table 2 20 Authentication for DA Form Continued If the senior rater is serving both as the rater and senior rater, the senior rater s information and signature will be entered in part II, blocks a and b. Note. On DA Form s for AMEDD officers attached or assigned to the APMC who do not complete AT or ECT, the Commander, APMC will serve as rater and senior rater with no other rating officials and will sign the DA Form in part II, both blocks a and b (as a senior rater who does not meet eligibility requirements to evaluate the rated officer) for code 19 AHRC Directed DA Form s. DA Form , part II: blocks b (1 through 11) Senior Rater s Information Action required: Enter the senior rater s information name (last, first, MI, suffix) in capital letters, SSN (for example, )/ rank, position, signature, validation date, organization, branch, component, telephone number, and address. As an alternative to providing an SSN, individuals possessing a DOD issued CAC may provide their unique 10-digit DOD identification number (located on the reverse side of the CAC). Use of an official address as the permanent address will facilitate HQDA contact concerning the DA Form , should the need arise. As a minimum, an address ending in.gov or.mil will be used. If the official.mil address exceeds the allowable character space, enter the address prior to symbol, (for example, marry.long thatexceedstextspace@). The rank entry will be current as of the THRU date of the DA Form A P is added to the rank only if the senior rater is promotable and serving in a position authorized for the next higher rank. Rating officials who have been frocked to a higher rank and are serving in the authorized position for the frocked rank will enter the frocked rank. For Branch, enter the two-character basic branch abbreviation or Voluntary Transfer Incentive Program (VTIP)/Career Field Designation (CFD). For general officers, enter "GO." The two-character branch entry will not be GS. For senior raters of other Services, in addition to their rank, enter their branch of Service (for example, U.S. Navy USN, U.S. Air Force USAF, U.S. Marine Corps USMC, U.S. Coast Guard USCG in the branch block in part II, block b. For example, a U.S. Navy captain would be entered as CAPT in the rank block and USN in the branch block. Civil service raters will enter the pay grade (GM/GG/GS/UA- #) in the rank block; for members of the senior executive service, SES will be entered in lieu of a rank or pay grade. For members authorized by an exception to policy or who are not in any category above, enter appropriate grade level. For DA civilians only enter DAC ; for civilians of other Services within DOD, enter CIV as the branch. The Component entry will be RA for Regular Army, USAR for U.S. Army Reserve, ARNG for Army National Guard, or NONE. Component entry will be RA for Regular Army, USAR for U.S. Army Reserve, ARNG for Army National Guard entered for Army components. All others will enter NONE. Note. The senior rater s signature and date are required on the completed DA Form even if they are unable to evaluate the rated officer due to lack of qualification. Using the electronic form within the EES, senior raters who lack minimum rating qualification will check the NO box in response to the question Have you been the senior rater for this officer for at least 60 days? to enter the statement I am unable to evaluate the rated officer because I have not been the senior rater for the required number of days in part V. Note. The minimum required time for senior rater eligibility to evaluate the rated officer is 90 days for USAR TPU, DIMA, and drilling IRR officers and ARNG officers. On DA Form s for AMEDD officers attached or assigned to the APMC who do not complete AT or ECT, the Commander, APMC will sign the DA Form in part II, block b as a senior rater who does not meet eligibility requirements to evaluate the rated officer for code 19 AHRC Directed DA Form s. If the senior rater is serving both as the rater and senior rater, the senior rater s information and signature will be entered in part II, blocks a and b. DA Form , part II: blocks c Referred Report Action required: If referral of an DA Form is required, the senior rater will place an X in the appropriate box in part II, block c of the DA Form (before he or she has signed and dated the DA Form ). The DA Form will then be provided to the rated officer for placement of an X in the appropriate box in part II, block c and signature or validation of administrative data. ("YES" if the rated officer will provide comments as an enclosure to the DA Form or "NO" if the rated officer will not provide comments.) DA Form , part II: blocks d Rated Officer s Signature Action required: The rated officer will sign and date the DA Form after it has been completed and signed by all rating officials in the rating chain. The rated officer s signature acknowledges that the rated officer has seen the completed DA Form , parts I through V, and verifies the accuracy of the administrative data in part I, the rating officials in part II, and the APFT and height and weight data in part IV, block a. This action increases administrative accuracy of the DA Form since the rated officer is most familiar with and interested in this information. Confirmation of the administrative data also will normally preclude an appeal by the rated officer based on inaccurate administrative data. Any administrative errors noted by the rated officer will be brought to the attention of the rating officials and corrected prior to their signature. Note. On DA Form s for APMC-managed AMEDD officers who do not complete AT/ECT, block d will be left blank; these officers will not sign the completed DA Form prior to submission to HQDA using EES in accordance with AR DA PAM November 2015

65 Table 2 20 Authentication for DA Form Continued If the rated officer is physically unavailable to sign the DA Form (and the DA Form cannot be forwarded to him or her to sign), is unable to sign the DA Form digitally or manually, or refuses to sign the DA Form for any reason, the senior rater will either resolve the problem or explain the reason for the lack of a signature. Using the electronic form within the EES, the senior rater will check the appropriate response to the question Is the rated officer available for signature? or the comment Rated Soldier refused to sign. The applicable statement will be entered in part V, ( The rated officer was unavailable for signature and/or The rated officer refused to sign ). Note. If the rated officer s signature is left blank in part II, block d, and the Wizard application, of electronic form within the EES is not used to enter the appropriate statement, the EES may not allow the DA Form to be submitted. DA Form s stating that the officer cannot sign due to CAC issues will not be processed. If the DA Form is adverse or contains derogatory information concerning the rated officer, it must be referred to the rated officer before he or she signs the DA Form Note. Using the electronic form within the EES will allow the senior rater to generate an automated referral memorandum as a built-in enclosure to the DA Form Part III, duty description Part III provides for the duty description of the rated officer. The rating officials are responsible for ensuring that the duty description information is factually correct. Note. The duty description on the DA Form A can be automatically populated to the DA Form on the electronic form within the EES (if DA Form A was utilized). Table 2 21 Duty description for DA Form DA Form , part III: block a Principal Duty Title Action required: Match principal duty title with unit force structure documents or a principal duty title that describes duties performed; should be the same as the duty title found on the DA Form 4037 (ORB). Note. On DA Form s for all AMEDD officers attached or assigned to the APMC, the principal duty title will be APMC Managed Officer. DA Form , part III: block b Position area of concentration AOC Code/Branch Action required: For commissioned officers, this entry will contain, as a minimum, the first five characters of the position requirements code (such as 42B00); seven characters if an ASI is needed; or nine characters if a language identification code is required; should be the same position code as on the DA Form 4037 (ORB). DA Form , part III: block c Significant Duties and Responsibilities Action required: State the officer s significant duties and responsibilities, written in a succinct narrative (not bullet) format, using the present tense to identify what the rated officer is supposed to do or be responsible for in his or her duty position. Unless changes occurred during the rating period, the duty description on the DA Form should be the same as the one on the DA Form A (or equivalent if not used). The rater will describe in detail the rated officer s duties and responsibilities, the number of personnel supervised, amount of resources under the rated officer s control, and scope of responsibilities. Descriptions must be clear and concise with emphasis on specific functions required of the rated officer. The rater should also note conditions unique to the assignment. For example, RA officers who are assigned to full-time support duties with RC units or USAR officers assigned to RA units often perform unique functions in that duty. In order to ensure that due consideration is given to these factors, the duty description should note these conditions. As a minimum, the duty description will include principal duties and significant additional duties. When an officer is serving under dual supervision, the statement Officer serving under dual supervision will be entered as the first line of the duty description. The duty description will be jointly developed by the supervisors in each chain of command. Reference: DA Pam Part IV, performance evaluation-professionalism, competencies, and attributes Part IV provides an assessment of a rated officer s professionalism, performance, and adherence to attributes and core leader competencies (including the APFT and the height and weight entries) focusing on what a leader is and what a leader does. Part IV contains the dimensions of the Army s leadership doctrine that define professionalism for the Army officer. Attributes are characteristics that are an inherent part of an individual s total core, physical, and intellectual aspects. Attributes shape how an individual behaves in their environment and are aligned to identity, presence, and intellectual capacity. Core leader competencies emphasize the roles, functions, and activities of what leaders do. Core leader competencies are complemented by attributes that distinguish high performing leaders of DA PAM November

66 character. Core leader competencies apply across all levels of the organization, across leader positions, and throughout careers. Army Values, Empathy, and Warrior Ethos are a critical attributes that define a leaders character and apply across all ranks, positions, branches, and specialties. These attributes are critical to maintain public trust and confidence in the Army and the qualities of leadership and management needed to maintain an effective Officer Corps. Attributes and Core Leader Competencies are on the DA Form series to emphasize and reinforce professionalism. They will be considered in the evaluation of the performance of all officers. See table 2 22 for DA Form attributes and competencies instructions. Table 2 22 Performance evaluation professionalism and Army Values for DA Form DA Form , part IV: block a APFT Action required: In the spaces after APFT, the rater will enter PASS or FAIL and the date (YYYYMMDD) of the most recent record APFT administered by the unit within the 12 month period prior to the THRU date of the DA Form ; however, the APFT date does not always have to be within the period covered on the DA Form If the rated officer was unable to take a record APFT (due to a profile or pregnancy), the status at that time will be documented, appropriately. The APFT for Soldiers without profiles consists of push-ups, sit-ups, and a 2 mile run. For Soldiers with permanent and temporary profiles who have been cleared to take an alternate APFT, enter PASS or FAIL for the alternate APFT as prescribed by health care personnel. The APFT may include an alternate authorized aerobic event (walk, bike, or swim). No comment about the Soldier s profile is required. For Soldiers with permanent profiles whose profiles prohibit them from taking the APFT, the entry will be left blank and the rater will explain the reason why it has been left blank. Soldiers with temporary profiles at the time of the unit s record APFT will enter PROFILE and the date (YYYYMMDD) the profile was awarded. The date of the profile must be within 12 months prior to the THRU date of the DA Form Sample entries are PASS , FAIL , or PROFILE APFT numerical scores will not be entered. The rater will address a FAIL entry for APFT in the narrative space provided in part IV, block a. Comments on FAIL entries may include the reason(s) for failure and/or note any progress toward meeting physical fitness standards (see AR 350 1). A comment on PROFILE entries will be made only if the rated officer s ability to perform his or her assigned duties is affected. The rater will explain the absence of an APFT entry in part IV, block a. If the APFT has not been taken within 12 months of the THRU date of the DA Form , the APFT data entry will be left blank. In accordance with AR , an APFT is not required for pregnant officers. For pregnant officers who have not taken the APFT within the last 12 months due to pregnancy, convalescent leave, and temporary profile, the rater will enter the following statement in part IV, block a: Exempt from APFT requirement in accordance with AR Note. When using the electronic form within the EES, the APFT and height and weight statement will be combined. In accordance with AR 350 1, officers 55 years of age and older have the option of taking the three-event APFT or an alternate APFT, but they will not be considered as being on profile unless a current profile exists. Additionally, officers 60 years of age and older have the option of not taking the APFT; however, they must maintain a personal physical fitness program approved by a physician and remain within compliance of height and weight standards of AR If no APFT is taken, leave the APFT entry blank and make the following comment in part IV, block a addressing the blank APFT entry: Officer exempt from APFT requirement in accordance with AR Deployed units unable to administer the APFT due to mission or conditions will annotate DA Form s in the provided comment field with the following statement: Officer was unable to take the APFT during this period due to deployment for combat operations/ contingency operations. In accordance with AR 350 1, upon return from deployment officers will be administered a record APFT no earlier than 3 months for RA and 6 months for USAR and ARNG officers. Note. Officers are not exempted from complying with height and weight requirements of AR Reference: AR 350 1, AR , and AR DA Form , part IV: block a (continued) Height and Weight Action required: In the spaces after HEIGHT and WEIGHT the rater will enter the rated officer s height and weight, respectively, as of the unit s last record weigh-in. If there is no unit weigh-in during the period covered by the DA Form , the rater will enter the officer s height and weight as of the THRU date of the DA Form An entry of YES or NO will also be placed in the space next to the weight to indicate compliance or noncompliance with AR Sample entries are HEIGHT: 72, WEIGHT: 180 YES ; HEIGHT: 71, WEIGHT: 225 NO; or HEIGHT: 73, WEIGHT: 215 YES. For officers 60 years of age and older who must remain in compliance with height and weight standards, the height and weight entry will be completed. Soldiers 60 years of age or older are only exempted from the requirement to take the APFT. For an officer who exceeds the screening table weight, a YES entry may only be entered after a body composition measurement has been completed and found to be within body composition standards, as determined by tape measurement and the use of DA Form 5500 or DA Form The rater will comment on a NO entry, indicating noncompliance with the standards of AR in part IV, block a. These comments should indicate the reason for noncompliance. Medical conditions may be cited for noncompliance; however, the NO entry is still required because medical waivers to weight control standards are not permitted for DA Form purposes. The progress or lack of progress in a weight control program will be indicated. For pregnant officers, the entire entry is left blank. The rater will enter the following statement in part IV, block a: Exempt from weight control standards of AR Note. When using the electronic form within the EES the APFT and height and weight statement will be combined. Rating officials will not use the word pregnant nor refer to an officer s pregnancy in any manner when completing the DA Form DA PAM November 2015

67 Table 2 22 Performance evaluation professionalism and Army Values for DA Form Continued For rated officers with major limb loss, the entire entry is left blank. The rater will enter the following statement in part IV, block a: Exempt from weight control standards of AR Major limb loss is defined as an amputation above the ankle or above the wrist, which includes full hand and/or full foot loss. It does not include partial hand or foot, or fingers or toes. Rating officials will not refer to the major limb loss in any manner when completing the DA Form For rated officers having an approved DCS, G-1 waiver, the entire entry will be left blank. The rater will enter the following statement in part IV, block a Rated officer has a DCS, G 1 waiver of compliance with AR In such cases, a copy of the DCS, G 1 approval memo will be submitted as an enclosure to the DA Form Compliance with AR 600 9, the height and weight standards of AR apply at all times, even when the officer is deployed for combat or contingency operations. This entry will not be left blank other than the exceptions indicated above. Reference: AR DA Form , part IV: block b Comments on Character and Potential (as related to Attributes and Competencies) Action required: The rater must quantitatively and qualitatively paint a word picture using short concise narrative format capturing the rated officer s performance and potential as it relates to the Leadership Requirements Model outlined in ADRP 6-22, which conveys expectations for Army leaders, for the rated officer s duty position. Comments on character, performance and potential are mandatory. Character encompasses elements internal and central to a leader s core consisting of Army Values, empathy, Warrior Ethos/Service Ethos, and discipline. Character is comprised of a person s moral and ethical qualities, helps determine what is right and gives a leader motivation to do what is appropriate, regardless of the circumstances or consequences. It determines who people are, how they act, helps determine right from wrong, and choose what is right. Rating officials will comment on how well the rated officer promoted a climate of dignity and respect and adhered to the requirements of the SHARP Program. This assessment should identify, as appropriate, any significant actions or contributions the rated officer made toward 1. Promoting the personal and professional development of subordinates. 2. Ensuring the fair, respectful treatment of unit personnel. 3. Establishing a workplace and overall command climate that fosters dignity and respect for all members of the unit. 4. This assessment should also identify any failures by the rated officer to foster a climate of dignity and respect and adhere to the SHARP Program. Raters will comment on any substantiated finding, in an Army or DOD investigation or inquiry, that the rated officer 1. Committed an act of sexual harassment or sexual assault. 2. Failed to report a sexual harassment or sexual assault; 3. Failed to respond to a complaint or report of sexual harassment or sexual assault; or 4. Retaliated against a person making a complaint or report of sexual harassment or sexual assault. Performance comments should address key items mentioned in the duty description in part III and, as appropriate, of the duty description, objectives, and contributions portions of the DA Form A (or equivalent) as they relate to the Leadership Requirements Model. Potential comments should compare the potential of the rated officer with his or her contemporaries during the evaluation period (see AR 623 3). Potential comments should primarily focus on the rated officer s potential for promotion, command, schooling (military and civilian), strategic assignments, successive duty assignments and level of assignments, and/or retention, when applicable. In cases when the rater is also serving as the senior rater, he or she will complete the rater s portion of the DA Form part IV, block a. Comments will be entered to cite the authority for the rating official to act as both rater and senior rater within part IV, block b. (Appropriate comments for part IV, block b include Serving as rater and senior rater in accordance with AR 623 3, paragraphs 2 19 (or para 2 20, as appropriate) or Serving as rater and senior rater in accordance with the CG, HRC exception to policy. ). The senior rater will sign the DA Form in both the senior rater s and the rater s signature blocks. Army Values: Consist of the principles, standards, and qualities considered essential for successful Army leaders. They are fundamental to helping Soldiers and DA civilians make the right decision in any situation. Army Values are an important leader responsibility and an expected standard. Comments, when provided, will refer to a specific value and be included in the narrative (for example, A solid, trustworthy officer whose integrity is beyond reproach. ). A list of Army Values and their definitions follow (a more detailed explanation can be found in ADRP 6-22). 1. Loyalty: Bears true faith and allegiance to the U.S. Constitution, the Army, the unit, and other Soldiers. 2. Duty: Fulfills obligations (professional, legal, and moral). 3. Respect: Treats people as they should be treated. 4. Selfless service: Puts the welfare of the Nation, the Army, and subordinates priorities before self. 5. Honor: Adheres to the Army s publicly declared code of values. 6. Integrity: Does what is right, legally and morally. 7. Personal courage: Faces fear, danger, or adversity (physical and moral). 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68 Table 2 22 Performance evaluation professionalism and Army Values for DA Form Continued Empathy: The ability to see something from another person s point of view, to identify with, and enter into another person s feelings and emotions. Empathy allows the leader to anticipate what others are experiencing and to try to envision how decisions or actions affect them. Army leaders display empathy when they genuinely relate to another person s situation, motives, and feelings. Empathy does not necessarily mean sympathy for another, but identification that leads to a deeper understanding. Warrior Ethos and Service Ethos: The professional attitudes and beliefs that characterize the American Soldier. They reflect a Soldier s selfless commitment to the Nation, mission, unit, and fellow Soldiers. These ethos are developed and sustained through discipline, commitment to the Army Values, and pride in the Army s heritage. The key to the Warrior and Service Ethos are not only physical, tactical, and technical training but also a mindset developed through purposeful mental preparation. Discipline: At the individual level this is primarily self-discipline, the ability to control one s own behavior. Discipline expresses what the Army Values require willingly doing what is right. Discipline involves attending to the details of organization and administration, which are less urgent than an organization s key tasks, but necessary for efficiency and long-term effectiveness. Examples include an effective Command Supply Discipline Program, Organizational Inspection Programs, and training management. Presence Is the impression a leader makes on others contributing to his or her success in leading them. This impression is the sum of a leader s outward appearance, demeanor, actions, and words. Presence incorporates a leader s effectiveness when demonstrating military and profession bearing, fitness, confidence, and resilience. Military and professional bearing: Projecting a commanding presence, a professional image of authority. Fitness: Having sound health, strength, and endurance, which sustain emotional health and conceptual abilities under prolonged stress. Confidence: Projecting self-confidence and certainty in the unit s ability to succeed in whatever it does; able to demonstrate composure and outward calm through steady control over emotion. Resilience: The psychological and physical capacity to bounce back from life s stressors repeatedly to thrive in an era of high operational tempo. Intellect Draws on the mental tendencies and resources that shape conceptual abilities applied to one s duties and responsibilities. Conceptual abilities enable effective problem solving and sound judgment before implementing concepts and plans. They help one think creatively and reason analytically, critically, ethically, and with cultural sensitivity to consider unintended as well as intended consequences, helping leaders anticipate the second- and third-order effects of their actions. The conceptual components affecting an Army leader s intellect include mental agility, sound judgment, innovation, interpersonal tact, and expertise. Mental agility: Is a flexibility of mind, an ability to anticipate or adapt to uncertain or changing situations. Agility enables thinking through second- and third-order effects when current decisions or actions are not producing the desired results. Sound judgment: Is the capacity to assess situations shrewdly and to draw rational conclusions. Consistent good judgment enables leaders to form sound opinions and make reliable estimates and sensible decisions. Good judgment includes the ability to assess subordinates, peers, and the enemy for strengths and weaknesses to create appropriate solutions and action. Innovation: Is the ability to introduce something new when needed or as opportunities exist. Being innovative includes creativity in producing original and worthwhile ideas. Innovative leaders tend to be inquisitive and good problem solvers. Innovative leaders prevent complacency by finding new ways to challenge subordinates with forward-looking approaches and ideas by relying on intuition, experience, knowledge, and input from subordinates. Interpersonal tact: Interacting with others depends on knowing what others perceive. It relies on accepting the character, reactions, and motives of oneself and others. Interpersonal tact combines these skills, along with recognizing diversity and displaying self-control, balance, and stability in situations. Expertise: Is the special knowledge and skill developed from experience, training, and education. Domain knowledge is what leaders know about application areas used in their duties and positions. Leaders create and use knowledge in at least four domains. Tactical knowledge relates to accomplishing a designated objective through military means. Technical knowledge consists of the specialized information associated with a particular function or system. Joint knowledge is an understanding of Joint organizations, their procedures, and roles in national defense. Cultural and geopolitical knowledge is awareness of cultural, geographic, and political differences and sensitivities. Leads Encompasses five competencies: leads others, extends influence beyond the chain of command, builds trust, leads by example, and communicates. Leads others: Measures the ability to influence Soldiers and DA civilians in the leader s organization. Leaders apply character, presence, and intellect to the core leader competencies while guiding others toward a common goal and mission accomplishment. Direct leaders influence others person-to-person, such as a team leader who instructs, encourages hard work, and recognizes achievement. Organizational and strategic leaders guide their organizations using indirect means of influence. Extends influence beyond the chain of command: Involves influencing others when the leader does not have designated authority or when the leader s authority is not recognized by others. Influence refers to how people create and relay their messages, behaviors, and attitudes to affect the intentions, beliefs, behaviors, and attitudes of another person or group of people. Influence depends upon relationships where leaders build positive rapport and a relationship of mutual trust, making followers more willing to support requests. Examples include showing personal interest in a follower s well-being, offering praise, and understanding a follower s perspective. Builds trust: Trust encompasses reliance upon others, confidence in their abilities, and consistency in behavior. Trust builds over time through mutual respect, shared understanding, and common experiences. Communication contributes to trust by keeping others informed, establishing expectations, and developing commitments. Sustaining trust depends on meeting those expectations and commitments. Trust forms and fosters when leaders create a positive command climate by identifying areas of common interest and goals. Teams develop trust through cooperation, identification with other members, and contribution to the team effort. 58 DA PAM November 2015

69 Table 2 22 Performance evaluation professionalism and Army Values for DA Form Continued Leads by example: Living by the Army Values and the Warrior Ethos best displays character and leading by example. It means putting the organization and subordinates above personal self-interest, career, and comfort. For the Army leader, it requires putting the lives of others above a personal desire for self-preservation. Communicates: Ensures there is more than the simple transmission of information. It achieves a new understanding and creates new or better awareness. Communicating critical information clearly is an important skill to reach shared understanding of issues and solutions. It conveys thoughts, presents recommendations, bridges cultural sensitivities, and reaches consensus. Actions can speak louder than words and excellent leaders use this to serve as a role model to set the standard. Leaders communicate to convey clear understanding of what needs to be done and why. Develops Developing people and the organization with a long-term perspective requires leaders who: Create a positive environment that fosters esprit de corps and teamwork, promotes cohesion, and encourages initiative and acceptance of responsibility. A leader maintains a healthy balance between caring for people and their Families while focusing on the mission. Seek self-improvement. To master the profession at every level, a leader must make a full commitment to lifelong learning. Self-improvement requires self-awareness and leads to new skills necessary to adapt to changes in the leadership environment. Invest adequate time and effort to develop individual subordinates and build effective teams. Success demands a fine balance of teaching, counseling, coaching, and mentoring. Act as stewards of the profession, making choices and taking actions that ensure that leaders in the future sustain an Army capable of performing its core functions. Achieves Focuses on accomplishing the mission. Mission accomplishment co-exists with an extended perspective towards maintaining and building the organization s capabilities. Achieving begins in the short-term by setting objectives. In the long-term, achieving requires getting results in pursuit of those objectives. Getting results focuses on structuring what to do to produce consistent results. Getting results embraces all actions to get the job done on time and to standard. Results are measured in how well the leader provided direction, guidance, and clear priorities, guiding teams in what needs to be done and how. This combined with monitoring performance to identify strengths and correct weaknesses in organizations, groups, and individuals allows for accomplishing missions consistently and ethically. Reference: ADRP Part V, senior rater a. Part V is the senior rater s assessment of the rated officer s potential. Part V is intended to capitalize on the senior rater s additional experience, broad organizational perspective, and tendency to focus on the organizational requirements and actual performance results. Information on the rated officer s DA Form A (or equivalent) is intended to assist the senior rater and supplement more traditional means of evaluation, such as personal observation, reports and records, and other rating officials. b. To ensure that the senior rater is a senior official qualified to evaluate the rated officer, he or she must meet the minimum requirements that are set forth in AR In evaluating the whole officer, the senior rater makes an assessment of the officer s potential for promotion to the next higher grade when compared with other officers. Table 2 23 Senior rater for DA Form DA Form , part V: Comments on Character and Potential (as related to Attributes and Competencies) Action required: Narrative comments by the senior rater on rated officer s potential are mandatory. Simply stating concurrence with the rater s evaluation does not fulfill the intent of this paragraph. When the senior rater has not been in the position the minimum number of days necessary to evaluate the rated officer, they will enter the following statement in part V: I am unable to evaluate the rated officer because I have not been the senior rater for the required number of days. In these cases, other entries in part V will be left blank. Note. Senior raters will use the electronic form within the Evaluation Entry System to automatically enter the appropriate statement in the DA Form , part V, if they are unable to evaluate the rated officer. On DA Form s for AMEDD officers attached or assigned to the APMC who do not complete AT or ECT, the Commander, APMC will enter the statement that he or she is unable to evaluate the rated officer, using the electronic form within the EES. All other entries in part V will be blank. The senior rater enters narrative comments in this block. Bullet comments are prohibited. Potential comments should primarily focus on the rated officer s potential for promotion, command, schooling (military and civilian), broadening assignments, successive duty assignments, and level of assignments, and/or retention, when applicable. Anything unusual about the DA Form will also be noted here (for example, APFT and height and weight data or explanatory comments, if not included; lack of rated officer s signature; signatures are out of sequence on the DA Form ; changes in an evaluation resulting from rated officer comments; and that multiple referral attempts have been made to the rated officer). 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70 Table 2 23 Senior rater for DA Form Continued Senior raters will comment on any substantiated finding, in an Army or DOD investigation or inquiry, that a rated officer: (1) committed an act of sexual harassment or sexual assault; (2) failed to report a sexual harassment or assault; (3) failed to respond to a complaint or report of sexual harassment or sexual assault; (4) retaliated against a person making a complaint or report of sexual harassment or sexual assault. Note. If the rated officer is physically unavailable to sign (and cannot have it forwarded to them to sign), unable to sign, or refuses to sign the DA Form , for any reason, the senior rater will either resolve the problem or use the electronic form within the EES to automatically enter the appropriate statement explaining why the rated officer s signature is left blank in part II, block d. Otherwise, the EES may not allow the DA Form to be submitted. An DA Form stating that the officer cannot sign due to CAC issues is unacceptable and such DA Form s will not be processed. The DA Form will not be delayed because it lacks the rated officer s signature. If the senior rater s evaluation is based on infrequent observation of the rated officer, this fact should be noted. In cases when the senior rater is also serving as the rater, he or she will complete parts IV, block a in the rater s portion of the DA Form Part IV, block b Comments on Character & Potential will be used to cite the authority for the rating official to act as both rater and senior rater. (Appropriate comments for part IV, block b section include Serving as rater and senior rater in accordance with AR 623 3, paragraphs 2 19 (or para 2 20, as appropriate) or Serving as rater and senior rater in accordance with the CG, HRC, exception to policy. when applicable.) As an option, the senior rater may add additional comments addressing the performance and potential of the rated officer within part IV, block b. The senior rater will sign the DA Form in both the senior rater s and the rater s signature blocks. Section VII Rater and Senior Rater Profile Reports for Officer Evaluation Reporting System Rater Profile report, Officer Evaluation Reporting System, and Headquarters, Department of the Army electronically generated label (Company and Field Grade Plates) The Rater Profile report provides statistical information on a rater s assessments of officers, by rank, sequenced in the order of receipt at HQDA. It includes data on officers of all components (RA, USAR, and ARNG). To access the Rater Profile report log in to the Evaluation Entry System Web site at: and select Evaluation Status and Management Tools (ERS) button. Note: Rated NCOs will not appear on the Rater Profile report, NCOs will appear on the Rater Tendency report; NCOs are not considered in the statistical data of the Rater Profile report. a. The Rater Profile report, created by the application that processes OERs, maintains the data for rater OER profiles. The Rater Profile Report shows rated officers names, sorted by rank, in the sequence of OER receipt date. Information from all HQDA-accepted OERs rendered by a rater is compiled in the Rater Profile report by name and by rank. The rank in which a promotable rated officer or warrant officer will be profiled is determined by the rank entered in part I, block c of the OER. The information from this profile is reflected on individual OERs on the HQDA electronically generated label. b. The HQDA electronically generated label overlays the rater performance box check in part IV on the OER and compares the rater s box check in part IV with his or her profile at the time the rater selects Lock regarding his or her assessment selection to the OER, which is then verified at the time the OER processes at HQDA. When the OER cannot be CAC initialed, the OER compares the rater s box check in part IV with his or her profile at the time the OER processes at HQDA. This comparison generates a label that will contain one of the following statements: Note: Once a rater indicates an assessment and the assessment is then Locked, it is not able to be changed or altered. Change requests to Locked assessments prior to report submission to HRC requires a memorandum request, from the rater s senior rater, to be submitted to Human Resources Command for approval and action. (1) EXCELS. The number of ratings in the first box must be less than 50 percent of all ratings in the profile for that rank. (2) PROFICIENT : A rating in the second box regardless of the profile or a rating in the first box when 50 percent or more of all ratings in the profile for that grade are in the first box. (3) CAPABLE : A rating in the third box regardless of the Rater Profile report. (4) UNSATISFACTORY : A rating in the fourth box regardless of the Rater Profile report. (5) NOT EVALUATED : The rater does not meet minimum rating qualifications. (6) NO BOX CHECK : A rating assessment not required for a selected grade/rank. c. The label will also contain the rated officer s and rater s, names, and SSNs; the date the report was received at HQDA; total ratings by the rater for those rated in the same grade; and the number of times the rated officer has been rated by this rater, which helps to identify raters with small rating populations. 60 DA PAM November 2015

71 d. Raters must personally monitor the submission of OERs to HQDA to ensure they are submitted in the desired sequence. Improperly sequenced OERs are not a basis for an appeal. e. Raters will have one profile with data for all officers rated (RA, USAR, and ARNG) Senior Rater Profile report, Officer Evaluation Reporting System, and Headquarters, Department of the Army electronically generated label The Senior Rater Profile report provides statistical information on a senior rater s assessments of officers and NCOs, by rank, sequenced in the order of receipt at HQDA. It includes data on officers and NCOs of all components (RA, USAR, and ARNG). To access the Senior Rater Profile report log in to the EES Web site at: army.mil and select Evaluation Status and Management Tools (ERS) button. Note: A senior rater profile report lists data for both officers and NCOs of all components (RA, USAR, and ARNG). This paragraph is specific for content associated with the officer evaluation reporting system. Content specific to noncommissioned officers is discussed in chapter 3. The Senior Rater Profile report, created by the application that processes OERs and maintains the data for senior rater OER profiles, shows rated officers names, sorted by rank, in the sequence of OER receipt date. Information from all HQDA-accepted OERs rendered by a senior rater is compiled in the Senior Rater Profile report by name and by rank. The rank in which a promotable rated officer or warrant officer will be profiled is determined by the rank entered in part I, block c of the OER. The information from this profile is reflected on individual reports on the HQDA electronically generated label. a. The senior rater evaluation timeliness report is a section of the Senior Rater Profile report and consists of two parts. The first part compiles statistical information on evaluation report submissions, separated by rank, and displays the total number of reports submitted, the total number of OERs and NCOERs submitted on time, and the percentage of reports submitted on time. The second part, consisting of additional pages as necessary, displays administrative information on the specific OERs and NCOERs that were not submitted on time. b. The HQDA electronically generated label overlays the senior rater potential box check, part VI, block a on the OER and compares the senior rater s box check in part VI, block a with their profile at the time the OER processes at HQDA. This comparison generates a label that will contain one of the following statements: (1) MOST QUALIFIED : The number of ratings in the first box must be less than 50 percent of all ratings in the profile for that rank. (2) HIGHLY QUALIFIED : A rating in the second box regardless of the profile or a rating in the first box when 50 percent or more of all ratings in the profile for that grade are in the first box. (3) QUALIFIED : A rating in the third box regardless of the Senior Rater Profile report. (4) NOT QUALIFIED : A rating in the fourth box regardless of the Senior Rater Profile report. (5) NOT EVALUATED : The senior rater does not meet minimum rating qualifications. (6) NO BOX CHECK : A rating assessment not required for a selected grade/rank. (7) GENERAL OFFICER : The rated officer is a general officer. (8) MULTI STAR POTENTIAL : The number of ratings in the first box cannot exceed 24 percent of all ratings in the profile for that rank. (9) PROMOTE TO BG : A rating in the second box with the number of ratings in the first box combined with the number of ratings in the second box less than 50 percent of all ratings in the profile for that rank. A rating in the first box when all ratings in the profile for that grade exceed 24 percent and the first box combined with the number of ratings in the second box is less than 50 percent of all ratings in the profile for that rank. (10) RETAIN AS COLONEL : A rating in the third box regardless of the profile or a rating in the first box when more than 24 percent of all ratings in the profile for that grade are in the first box and/or the first box combined with the number of ratings in the second box is not less than 50 percent of all ratings in the profile for that rank. (11) UNSATISFACTORY : A rating in the fourth box regardless of the Senior Rater Profile report. c. The label will also contain the rated officer s and senior rater s ranks, names, and SSNs; the date the OER was received at HQDA; total ratings by the senior rater for those rated in the same grade; and the number of times the rated officer has been rated by this senior rater, which helps to identify senior raters with small rating populations. d. Senior raters must personally monitor the submission of OERs to HQDA to ensure they are submitted in the desired sequence. Improperly sequenced OERs are not a basis for an appeal. e. Senior raters will have one profile with data for all officers and NCOs senior-rated (RA, USAR, and ARNG). Section VIII Referred Reports, Relief for Cause Reports and Addendum Procedures Referral process a. If a referral of an OER is required (see AR 623 3), the senior rater will place an X in the appropriate box in part II, block d (or part II, block c for DA Form s) on the completed OER (for example, when the senior rater has signed and dated the completed OER). The OER will then be given to the rated officer for signature and placement of an X in the appropriate box in part II, block d (or block c, as appropriate). DA PAM November

72 Note: While the rated officer may refuse to sign a referred OER, the rated officer must check either the YES or NO box to indicate whether or not comments will be provided. b. The rated officer may comment if they believe that the rating and/or remarks are incorrect. The comments must be factual, concise, and limited to matters directly related to the evaluation rendered on the OER; rating officials may not rebut rated officer s referral comments. Enclosures or attachments that contain extraneous or voluminous material or items already contained within the officer s file are not normally in the rated officer s best interest; therefore, they should be avoided. Any enclosures or attachments to rebuttal comments will be withdrawn and returned to the rated officer when the OER is forwarded to HQDA. c. The rated officer s comments do not constitute an appeal. Appeals are processed separately, as outlined in chapter 6. Likewise, the rated officer s comments do not constitute a request for a commander s inquiry. Such a request must be submitted separately (see AR 623 3). d. If the senior rater decides that the comments provide significant new facts about the rated officer s performance and that they could affect the rated officer s evaluation, they may refer them to the other rating officials. They, in turn, may reconsider their individual evaluations. The senior rater will not pressure or influence the other rating officials to change their evaluations. Any rating official who elects to raise his or her evaluation of the rated officer as a result of this action may do so. However, the evaluation may not be lowered because of the rated officer s comments. If the OER is changed but still requires referral, the OER must again be referred to the rated officer for acknowledgment and new comments. Only the latest acknowledgment and comments (if submitted) will be forwarded to HQDA with the completed OER. e. If the rated officer is unavailable to sign the OER for any reason or cannot be contacted and a written referral is required (referral process for OERs is in AR 623 3) the following procedure must be followed: (1) The senior rater will refer, in writing, a copy of the completed OER (signed and dated by all rating officials) to the rated officer for acknowledgment and comment. (See fig 2 6 for a sample referral memorandum and fig 2 7 for a sample acknowledgment memorandum.) Note: A referral memorandum is provided under enclosures the electronic form within the EES. This will be done even if the rated officer has departed due to PCS, retirement, or release from active duty (REFRAD). A reasonable suspense date should be given for the rated officer to complete this action. In this referral, the rated officer will be advised that his or her comments do not constitute an appeal or request for a commander s or commandant s inquiry. (2) Upon receipt of the rated officer s acknowledgment, the senior rater will include it with an original or a signed copy of the referral letter to the original OER and forward it to (a) The supplementary reviewer, if appropriate. (b) The battalion (BN) and/or brigade (BDE) adjutant (S1), administrative section, or HQDA, as appropriate. (c) The other rating officials if paragraph d, above, applies. 1. If the rated officer fails to respond within the suspense period, the senior rater will include a signed copy of the referral to the original OER and indicate either on the original referral memorandum or a second document that the rated officer failed to complete his or her acknowledgment. The senior rater will then send it to the reviewer. Reviewers will complete administrative review and forward to BN and/or BDE S1, administrative section, or HQDA, as appropriate. 2. Senior raters will, when possible, refer OERs to the rated officer prior to his or her departure. 3. A rated officer is responsible for leaving a current forwarding address or address when he or she departs a unit. Mailing a referred OER by certified mail to an officer s last disclosed mailing address is sufficient to constitute constructive service of a referred OER. If an OER sent by certified mail to an officer s last known forwarding address is returned, indicating that the officer may not be reached at that address, the senior rater will attach a signed copy of the referral to the original report and indicate either on the original referral or a second attachment that the rated officer failed to complete his or her acknowledgment. The senior rater will then send it to the reviewer, BN and/or BDE S1, administrative section, or HQDA, as appropriate. 62 DA PAM November 2015

73 Figure 2 6. Sample format for referral memorandum DA PAM November

74 Figure 2 7. Sample format for acknowledgment memorandum 64 DA PAM November 2015

75 2 29. Relief for Cause officer evaluation report instructions If a rated officer or warrant officer is officially relieved (see AR 623 3), the following specific instructions apply to completing a Relief for Cause OER: a. DA Form and DA Form (Company and Field Grade Plate forms). ( 1 ) T h e p e r f o r m a n c e e v a l u a t i o n b o x c h e c k i n p a r t I V o f t h e O E R m u s t r e f l e c t U N S A T I S F A C T O R Y o r CAPABLE. An UNSATISFACTORY recommendation is consistent with relief action and does not need further explanation. However, raters who select CAPABLE must explain their recommendation and reasons in view of the action to relieve. (2) The senior rater s potential evaluation in part VI, block a, of DA Form series must reflect NOT QUALIFIED or QUALIFIED. A NOT QUALIFIED recommendation by the senor rater in part VI, block a, is consistent with a relief action and does not need further explanation. However, senior raters who select QUALIFIED must explain their recommendation and reasons in view of the action to relieve. b. DA Form (Strategic Grade Plate forms). The senior rater s potential evaluation box check in part VI, block a of the DA Form must reflect UNSATISFACTORY or RETAIN AS COLONEL. A UNSATIS- FACTORY recommendation by the senor rater is consistent with relief action and does not need further explanation. However, senior raters who select RETAIN AS COLONEL must explain their recommendation and reasons in view of the action to relieve. The rating restriction in paragraphs a and b, does not apply to a rating official who has not directed the relief and does not agree with the relief. However, they must state their nonconcurrence in the comments portion of the OER. The OER will identify the rating official who directed the relief. This official will clearly explain the reason for relief in their narrative portion of the OER. If the relief is directed by someone not in the designated rating chain, the official directing the relief will describe the reasons for the relief in an enclosure to the OER. See a sample Relief for Cause directed by a nonrating official memorandum in figure 2 8. Additionally, if the relief was directed by the senior rater or an individual other than their rating officials, the OER will be reviewed by the first Army officer in the organization or chain of supervision above the individual directing the relief. The reviewing official s information will be annotated on the completed DA Form , DA Form , and DA Form in part II, blocks f. Should the reviewing official provide comments, the reviewing official will select YES in block f7 and attach comments. For DA Form s that require supplementary review, a memorandum will need to be prepared and attached to the completed evaluation. See a sample supplementary review for Relief for Cause memorandum in figure 2 9. Note: These documents are provided under the enclosure tab of the electronic OER (Wizard application associated with the electronic form within the EES). DA PAM November

76 Figure 2 8. Sample format Relief for Cause directed by a nonrating official memorandum 66 DA PAM November 2015

77 Figure 2 9. Sample format supplementary review Relief for Cause memorandum DA PAM November

78 Figure Sample format for request of an international rater identification number memorandum Mandatory review of officer Relief for Cause officer evaluation reports An additional review of Relief for Cause OERs is required following referral to the rated officer. a. When an officer (commissioned or warrant) is officially relieved of duties and a Relief for Cause OER is subsequently prepared (see AR 623 3), the OER will be referred to the rated officer or warrant officer as described in the referral process in AR Note: This referral must be completed before taking any of the actions in the following subparagraphs. b. If the rater or intermediate rater directed the relief, the senior rater will perform the review, provided he or she is an Army officer or DA civilian when other rating officials are uniformed Army rating officials. Otherwise, the first U.S. Army officer, designated as the Uniformed Army Advisor in the organization or chain of supervision above the individual directing the relief will perform a supplementary review of the OER. c. Reviewers of Relief for Cause OERs will 68 DA PAM November 2015

79 (1) Ensure that the narrative portions of the OER contain factual information that fully explain and justify the reason for the relief. (2) Verify that any derogatory information has been accurately reflected. (3) Ensure that the OER has been prepared as prescribed in AR and this pamphlet. (4) Ensure that the OER has been returned to the rated officer for comment. (5) Review relieved officer s referral comments, if provided. d. The procedures for reviewing Relief for Cause OERs are as follows: (1) If the senior rater is qualified to serve as the reviewer and is satisfied that the OER is clear, accurate, complete, and fully in accordance with the provisions of the regulation, they will continue to process the OER. (2) If the senior rater finds that the OER is unclear, contains errors of fact, or is otherwise in violation of AR 623 3, they will return the OER to the rater or intermediate rater, indicating what is wrong. The senior rater will avoid all statements and actions that may influence or alter an honest evaluation by the rater or intermediate rater. When the OER has been corrected, it will be returned to the senior rater. (3) If the senior rater is not a U.S. Army officer, a DA civilian when other rating officials are uniformed Army rating officials, or if the relief was directed by the senior rater or an individual other than the rating officials, the OER will be reviewed by the first U.S. Army officer (Uniformed Army Advisor) in the organization or supervision above the individual directing the relief This officer will perform the functions described in paragraphs 2 30c(1) through 2 30c(5). The senior rater (or other reviewer) will prepare and submit comments as an enclosure to the OER (as required). If there is not an Army officer or Uniformed Army Advisor in the chain of command or supervision above the person directing the relief, the OER will be forwarded (along with the appropriate request) to HQDA for review (address in app B). (4) Changed Relief for Cause OERs will be referred, again, by the senior rater (or other reviewer), in accordance with the referral process in AR 623 3, to the rated officer so that the corrected OER may be acknowledged and comments can be provided, if desired. Only the final referral and acknowledgment are forwarded with the report to HQDA. (5) If the corrected OER is satisfactory to the senior rater (or other reviewer), the senior rater (or other reviewer) will continue to process the OER. (6) If the corrected OER is not satisfactory to the senior rater (or other reviewer), or if the other rating officials disagree about the need for changes in the OER, the senior rater (or other reviewer) will indicate objections to the OER by adding a memorandum as an enclosure to the OER (see AR for a sample supplementary review memorandum). When indicating objections, the senior rater (or other reviewer) is restricted to the requirements of reviewers of Relief for Cause OER (see AR 623 3) Submitting an addendum to previously submitted officer evaluation reports Rating officials will submit an addendum to a previously submitted OER when they become aware of new derogatory information that would have resulted in a lower evaluation of the rated officer. See chapter 6 of this publication, AR (OER modifications, derogatory information, and the redress program) for guidance on the correction of OERs for other reasons. a. The first commander in the officer s current chain of command who receives new information about a rated officer will ensure that all members of the original rating chain for the OER impacted by this new information are aware of it and are allowed to comment. If none of the original rating officials wants to change or add to the original OER, no addendum will be prepared. b. The addendum will contain the rated officer s name, grade, SSN, and the period covered by the OER to which it applies (see para 5 3 for instructions). It will also state that all members of the rating chain have been allowed to add or change comments, and it will list those who did not want to comment. c. On completion of this action, the commander will refer a copy of the addendum to the rated officer (OER) for acknowledgment and the opportunity to submit comments before sending it (and any signed comments) to HQDA (see address in app B). Note: For ARNG Soldiers, the addendum will be forwarded to HQDA through the state adjutant general). No changes will be made to the original OER in the rated Soldier s AMHRR, but the addendum will be appended to the OER to which it has been prepared, along with any comments from the rated Soldier. d. If not a member of the original rating chain, the commander s responsibility is only to coordinate the submission of the addendum. The commander may not add comments to the addendum unless he or she was a member of the original rating chain. e. If any of the rating officials have been reassigned, released from active duty, incapacitated, or are otherwise unable to complete their part of an addendum prior to an investigation involving the rated officer, they will so indicate. If the rated Soldier cannot be contacted for review, the commander will comment on the action taken and the inability to contact the rated Soldier before submitting the addendum to HQDA. Specific instructions for referral are detailed in AR DA PAM November

80 Section IX Headquarters, Department of the Army DA Form series Officer Evaluation Report Processing How to make corrections to DA Form series a. OERs that have been received and accepted for processing at HQDA will be visible in the EES application when the receipt date is on or before the load date shown. OERs with administrative errors will be placed in an ON HOLD - Returned to Field or PENDING status, awaiting corrected OERs from the rating officials, BN and/or BDE S1, or administrative office. Examples, but not inclusive of administrative errors include inaccurate or overlapping FROM and THRU dates, incorrect reason for submission, missing APFT status or date, and missing or incorrect height and weight data. b. Review the administrative notes in the EES that identify the error(s) contained within an OER. Following correction of these errors, the newly corrected OER will be re-submitted to HQDA using the EES. Note: If corrections are made on paper copies of DA Form series, mail the corrected OER to the address in appendix B. c. If the administrative notes for an OER state that the senior rater needs to contact HQDA, he or she must do so expeditiously to avoid delays in processing the OER to the rated officer s AMHRR Headquarters, Department of the Army rejection of DA Form series HQDA review of OERs may identify errors within the content of an OER. Such OERs will be indicated as REJECTED in the Evaluation Entry System or they will be returned to the sender s EES inbox. OERs with the following errors will be rejected as invalid: a. Senior rater does not meet the minimum grade/rank requirements (see AR 623 3). b. Rating period does not meet minimum time requirements to render an OER (see AR 623 3). c. Period covered overlaps the dates of a previously submitted OER already in the officer s AMHRR and fails to meet minimum rating requirements once the FROM date is corrected. d. Receipt date at HQDA is prior to the THRU date on the OER (see authentication of OERs in AR 623 3). e. Complete the Record OERs are not received in a timely manner in accordance with the military personnel (MILPER) message announcing an HQDA-level selection board (see AR 623 3). f. Complete the Record or Promotion OER is submitted or received for an officer who is ineligible for a specific selection board. g. OERs are sent from a previous system that is now obsolete (for example, DA Form 67 8). h. Subsequent OERs are submitted or received with the same FROM and THRU dates. i. Evaluations that are illegible or of poor quality. j. Faxed copies of OERs, which will be discarded without record of rejection in the EES. Table 2 24 Codes and reasons for submitting DA Form series Code Reason Entered on OER 02 Annual report Annual 03 Change of rater Change of Rater 04 Change of duty (under the same rater), retirement, or discharge; REFRAD or reassignment to IRR Control Group (RC only) 05 Relief for cause Relief for Cause 06 Depart on temporary duty (TDY), temporary change of station (TCS), or special duty (SD) Change of Duty Retirement Discharge REFRAD or Reassignment Note. USAR only; for reassignment of USAR Soldiers to an IRR Control Group. Depart TDY/TCS/SD day optional report 60 day Opt 08 Senior rater optional report SR Option 09 Complete the record Complete Record 10 Extended annual Extended Annual 11 Rated officer failing selection for promotion Promotion 70 DA PAM November 2015

81 Table 2 24 Codes and reasons for submitting DA Form series Continued 12 REFRAD status: AT, active duty for training (ADT), ADOS RC, ADOS or CO ADOS (RC only) 13 Rater optional report Rater Option 14 Initial tour on extended active duty (ADOS) evaluation Initial 16 Based on application for regular Army (RA) appointment RA Appt 17 Submitted on officers participating in The Judge Advocate General s Funded Legal Education Program or Excess Leave Program REFRAT REFRADT REFRADOS RC REFRADOS REFRCO ADOS Note. Used for USAR and National Guard Bureau (NGB) OERs only. JAGC OJT 19 HRC directed AHRC Directed 31 NGB directed NGB Directed 32 NGB general officer nomination NGB GO Nomination 33 Transfer from ARNG to another component Trans to Another Comp 34 Transfer from ARNG to Retired Reserve Trans fm NG to Ret Res 35 ARNG Soldier departure on ADT for more than 30 days NG DEP ADT (30 + days) 36 ARNG departure on full-time training duty for more than 30 days 37 Transfer to the inactive national guard (ING) Trans to ING 43 USAR general officer nomination GO Nomination 44 Release from temporary active duty RETAD NG DEP ADOS RC (30 = days) Notes: 1 Codes other than those indicated in this table may appear in the dropdown menu on electronic forms associated with the Wizard application within the EES. 2 Use only the codes available in this table for processing OERs. Table 2 25 Codes and reasons for nonrated periods for DA Form series Code Reason A C D E F G H I M P Q S T W X Absent without leave, desertion, and/or unsatisfactory participant (versus nonparticipant). Confinement in military or civilian detention facility, assignment to military personnel. Temporary disability retirement list. Leave (30 or more consecutive days). Under arrest. Healing with duty (for Warrior Transition Unit (WTU) Soldiers with duties assigned at the discretion of the WTU commander; see AR for special situations). Healing (for WTU Soldiers performing their healing mission). In transit between duty stations, including leave, permissive TDY, and TDY. Missing in action. Patient (under doctor s care and unable to perform assigned duties; includes convalescent leave). Lack of rater qualification. Student at military or civilian school. On TDY, TCS, and/or SD less than 90 calendar days. Prisoner of war. Authorized absence for participation in special program. DA PAM November

82 Table 2 25 Codes and reasons for nonrated periods for DA Form series Continued Z None of the above. Notes: 1 Codes other than those indicated in this table may appear in the drop-down menu on electronic forms associated with the Wizard application within the EES. 2 Use only the codes available in this table for processing OERs. Chapter 3 Noncommissioned Officer Evaluation Report Forms and Preparation Section I DA Form A (NCO Evaluation Report Support Form) 3 1. Purpose and process for DA Form A a. Purpose. DA Form A contributes to Armywide improved performance and professional development through increased emphasis on performance counseling and assures verified communication process throughout the rating period. It promotes a top-down emphasis on leadership communication, integrating rated NCOs participation in objective setting, performance counseling, and the evaluation process. At the beginning of the rating period, it enhances planning and relates performance to mission through rater and rated NCO Joint discussion of the duty description and major performance objectives. During the rating period, it requires performance counseling and encourages the best use of individual talent through continuous communication to update and revise the performance objectives, recording results of performance with the rated NCO. At the end of the rating period, it enables the rating chain in completing the NCOER, because the DA Form A is forwarded through the rating chain as evaluations are rendered. b. Process. DA Form A use is mandatory for all NCOs, corporal (CPL) through command sergeant major (CSM); however, no NCOER is prepared for CPLs. Counseling sessions will be conducted at least quarterly for RA and AGR NCOs and at least semiannually for ARNG and USAR NCOs performing inactive duty training (IDT). (1) Beginning of the rating period. (a) Shortly after the rated NCO assumes his or her duties, the rater provides the rated NCO with a copy of their and the senior rater s support form (DA Form A or DA Form A, or equivalent and as applicable) along with the unit s mission, valid rating chain, duty description, and specified goals and objectives. The rated NCO then drafts his or her DA Form A (duty description (part III), performance goals and expectations (part IV), and major performance objectives (part V)). Note: Always use the current version of form in accordance with paragraph 1 2. Using the Wizard application within the EES allows the automatic population for the rated NCO s administrative data in part I of the electronic form based on the most current data from the authoritative database at HQDA. Auto-populated administrative data may be manually corrected, as needed. The use of SSNs on support forms is optional because these documents are used exclusively at the local level; however, full SSNs or DOD ID numbers for the rated NCO, the rater, and the senior rater are needed to create a DA Form A within EES and assist in populating NCOERs directly from DA Form A. (b) Within the first 30 days of the rating period, effective date of lateral appointment to CPL, or promotion to sergeant (SGT), the rater will conduct the first counseling session with the rated NCO. Additionally, the rater will discuss and establish goals for the NCO to promote/support a healthy workplace environment conducive to the growth and development of personnel. The rater will also discuss and establish goals for supporting the EO and EEO programs, fostering a climate of dignity and respect, adhering to the SHARP Program s initiatives, reducing and eliminating sexual harassment and sexual assault in their unit within Part IV and Part Va. (c) When the initial discussion is completed, the rated NCO and rater provide initials in part II of the DA Form A, the date entered represents the date initial counseling occurred. The rater will then forward the form to the senior rater. The senior rater should have a face-to-face counseling session (or an alternative type of discussion) with the rated NCO. The intent is for the senior rater to counsel the NCO initially within the first 30 days followed by counseling at the midpoint for the evaluation period. The senior rater reviews as needed, comments in part VI, initials DA Form A in part II and returns it to the rater. The rater will return the original DA Form A to the rated NCO and will retain a copy for record. Note: See AR for USAR Soldiers. This initial counseling session is somewhat different from later counseling sessions in that the primary focus is on communicating performance standards to the rated NCO. It should specifically let the rated NCO know what is expected of them during the rating period. The rater shows the rated NCO the rating chain and a complete duty description, discusses the meaning of character and responsibilities identified on the NCOER, and explains the requirements for meeting Army and organizational standards. Before the rated NCO departs the counseling session, the rater will record key points that were discussed and obtain the rated NCO s initials on DA 72 DA PAM November 2015

83 Form A. Note: Always use the current version of DA Form A or DA Form series NCOER in accordance with paragraph 1 2. Using the Wizard application associated with the electronic form within the EES allows the rater to automatically enter the rated NCO s administrative data in part I of the DA Form A or DA Form series NCOER based on the most current data from the authoritative database at HQDA. Auto-populated administrative data may be manually corrected, as needed. The use of SSNs on support forms is optional because these documents are used exclusively at the local level; however, full SSNs or DOD ID numbers for the rated NCO, and rating officials assist in populating NCOERs directly from the DA Form A. (2) During the rating period. The rated NCO uses the DA Form A as a performance guide. The rater conducts periodic follow-up performance counseling with the rated NCO to make needed adjustments to performance objectives. (a) The rater and rated NCO discuss and document significant contributions and accomplishments. Additionally, the rater and rated NCO discuss and document performance accomplishments as they relate to adherence to leadership attributes and demonstration of competencies in part V, blocks a. through f. (b) The rater will discuss how well the NCO is promoting/supporting EO and EEO programs, fostering a climate of dignity and respect, adhering to the SHARP Program s initatives, reducing and eliminating sexual harassment and sexual assault within their unit in Part V, CHARACTER. (c) Upon completion of each periodic counseling session, the rated NCO and the rater initial and date DA Form A in part II. The senior rater reviews, as needed, comments in part VI, initials DA Form A in part II and returns it to the rater. The rater will return the original DA Form A to the rated NCO and will retain a copy for record. Note: These counseling sessions differ from the first counseling session in that the primary focus is on open communication, focusing on how well the rated NCO is performing. The rater will update the duty description and, based on significant contributions and accomplishments, discuss what was done well and what could be done better. The rater will also address how well the NCO is promoting/supporting a healthy workplace environment conducive to the growth and development of personnel; discuss and update how well the rated NCO supports the EO and EEO programs, fostering a climate of dignity and respect and supporting the SHARP Program s initiative, reducing and eliminating sexual harassment and sexual assault in their unit within Part V CHARACTER. The guide for this discussion is standards met, exceeded, or not met established from the previous counseling session. Prior to the conclusion of the counseling session, the rater will record key points discussed and obtain the rated NCO s initials on DA Form A. (3) End of the rating period. At the end of the rating period, the rater completes a final DA Form A by documenting how well the rated NCO accomplished major performance objectives during the rating period, focusing on the most significant objectives and documenting performance accomplishments as they relate to adherence to leadership attributes and demonstration of competencies made. (a) Rated NCOs will not prepare their own final DA Form A but may provide input to rating officials to assist them with completion of the final DA Form A. The rater obtains the current required version of the electronic NCOER and uses the DA Form A as input in preparing his or her evaluation of the rated NCO. The rater includes the duty description from the rated NCO s final DA Forms A and may use information from this form as input when completing the NCOER, the choice of what to enter on the NCOER is ultimately up to the rater. (b) The rater is responsible for completing parts I, II, III, and IV of the final NCOER including, APFT performance entry and date, the height and weight entry including verification of compliance of AR in part IV, block a and b (or an explanation of missing APFT and/or height and weight entries) See AR The rater then forwards the completed DA Form A and the NCOER to the senior rater. The senior rater reviews the final DA Form A as NCOER input and returns the original DA Form A to rated NCO. See figure 3 1 for a sample of DA Form A. Note: The electronic version of DA Form A within the EES may be used to create a draft NCOER allowing portions of DA Form A data to auto populate onto the draft NCOER. Note: Additional attachments to DA Form A may be used, when required. (c) The rater will maintain one DA Form A for each rated NCO until after the NCOER for the rating period has been approved and submitted to the evaluations branch, HRC. For CPLs who do not receive an NCOER, the DA Form A will be maintained for 1 year. There is no regulatory requirement to keep DA Form A beyond this time; however, maintaining this form on a case-by-case basis for possible future use to support personnel actions may be appropriate. DA PAM November

84 Figure 3 1. Example of DA Form A (page 1) 74 DA PAM November 2015

85 Figure 3 1. Example of DA Form A Continued (page 2) DA PAM November

86 Section II DA Form series Noncommissioned Officer Evaluation Reports 3 2. Purpose and process for DA Form series a. Purpose. DA Form series allows rating officials to provide HQDA with performance and potential assessments of each rated NCO for HQDA selection board processes. It also provides valuable information for use by successive members of the rating chain, emphasizes and reinforces professionalism, and supports the specialty focus Enlisted Personnel Management System processes. The DA Form series consists of the following: (1) DA Form NCO Evaluation Report (SGT) for sergeant (SGT). (2) DA Form NCO Evaluation Report (SSG 1SG/MSG) for staff sergeant (SSG) through first sergeant (1SG). (3) DA Form NCO Evaluation Report (CSM/SGM) for sergeant major (SGM) and command sergeant major (CSM). Note: Ensure the appropriate DA Form series is selected and utilized for when rated NCOs are eligible use of the P identifier in part I, block of the NCOER (see AR 623 3). b. Process. NCOER completion requires rating officials to make a conscientious assessment of a rated NCO s performance in his or her assigned position and his or her potential for increased responsibility and service in positions of higher ranks. c. Sample. See figures 3 2 through 3 4 for samples of DA Form series NCO evaluation reports. 76 DA PAM November 2015

87 Figure 3 2. Example of DA Form (page 1) DA PAM November

88 Figure 3 2. Example of DA Form Continued (page 2) 78 DA PAM November 2015

89 Figure 3 3. Example of DA Form (page 1) DA PAM November

90 Figure 3 3. Example of DA Form Continued (page 2) 80 DA PAM November 2015

91 Figure 3 4. Example of DA Form (page 1) DA PAM November